Our expertise extends beyond courtroom litigation of private securities actions, SEC enforcement matters, and a variety of industry-specific issues in FINRA arbitrations. We represent financial institutions, broker-dealers, advisors, and other professionals on both Enforcement Division cases initiated by FINRA as well as disputes between parties operating within the securities sector.

At times, industry professionals face daunting requests for documents and responses to inquiries. Failing a proper response can initiate an investigation by the Financial Industry Regulatory Authority (FINRA). Such investigations involve formal statements akin to depositions called “On The Record” declarations that may lead FINRA to find enough evidence to issue charges.