FINRA, the SEC, and state securities and insurance regulators are pursuing actions against broker/dealers, RIAs and their people as vigorously as ever. At best, regulatory investigations can be a stressful distraction from your business; at worst, adverse results can devastate a company or a career.
Even in the most complex and challenging of matters we have achieved outstanding results for our clients. The scope of our work in this area includes:
- Responding to FINRA Letters of Inquiry
- Defending FINRA Notices of Investigation
- Defending FINRA disciplinary actions
- Responding to SEC subpoenas and investigations
- Defending SEC enforcement actions
- Responding to investigations by state insurance and securities regulators