- Defends individuals and entities in all stages of examinations, investigations, and administrative proceedings initiated by the Securities and Exchange Commission (“SEC”) including appeals to the Commission and/or federal courts.
- Defense of FINRA examinations or investigations, including representation at on-the-record (“OTR”) testimony, responding to 8210 requests, and handling the Wells process.
- Defense of FINRA Enforcement actions from inception through hearing and, if necessary, the appellate process.
- Advise clients on issues affecting membership and/or association including Statutory Disqualification (including Dodd-Frank implications), the MC-400 Application process, and the 1017 process.
- Defends clients in connection with examinations, investigations, or proceedings instituted by state securities regulators.
- Defends individuals and financial institutions against customer complaints of all varieties including disputes involving allegations of securities fraud, unsuitability, defamation, breach of fiduciary duty, fraud, negligence, overconcentration, and failure to supervise.
- Experience in a wide variety of products including, limited partnerships, private placements, TICs, DSTs, REITs, and traditional securities.
- Defense of FINRA and SEC Enforcement actions involving anti-money laundering (AML), registration issues, customer identification programs (CIP), net capital, and other non-sales practice issues.
- Defends financial institutions in arbitration actions before the NFA, FINRA, and AAA on a wide range of customer claims.