Regulatory Defense

While it may not be surprising that the financial industry is one of the most heavily regulated sectors of business, we are in a period of heightened scrutiny by FINRA, the SEC, and state regulators due to unfathomable abuses that have occurred in the financial industry over the last decade. The regulators are more active than ever in pursuing examinations, investigations, and enforcement actions, and these efforts are also more exhaustive, with regulators unwilling to tolerate even the most minor transgressions. As a result, most Broker-Dealers and Registered Investment Advisers (RIAs) will, at some point, be subject to compliance examination and other inquiries made by the SEC, FINRA, DOJ, and state regulators. Professionals who are subject to an investigation or enforcement action not only face a stressful distraction from their business, but also face serious potential consequences, including financial penalties, suspension, and permanent bar from the industry. Furthermore, any findings against a regulated person by a regulator may be reportable and publicly available on the individual’s CRD / ADV Part 2B and can be devastating to an individual’s career.

Our team has the knowledge, experience, and expertise to guide our clients successfully through examinations, investigations, and enforcement actions to achieve the best possible outcome, including obtaining favorable settlements and defending actions through full hearings / cases. Our regulatory defense practice includes representing and defending Broker-Dealers, Registered Representatives, RIAs, and Investment Adviser Representatives (IARs) in all aspects of the regulatory space.

Our Regulatory Defense services include:

  • Conducting mock examinations for Broker-Dealers and RIAs
  • Assisting Broker-Dealers and RIAs respond to routine examinations by the SEC and state regulators
  • Advising and assisting clients respond to routine examinations, FINRA inquiries, subpoenas from the SEC, Orders of Production from FINRA, 8210 requests from FINRA, and orders from state regulators
  • Defending individuals, firms, and private funds in investigations and enforcement actions brought by state regulatory agencies and the SEC
  • Defending clients in FINRA Wells Notices and enforcement actions
  • Representing clients required to appear for on-the-record (“OTR”) interviews
  • Responding and defending advisors in investigations by state insurance agencies


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Regulatory Defense, Securities Litigation, Private Funds, RIA Registration, General Counsel, Mergers & Acquisitions, FINRA Expungements

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