FINRA/SEC Investigations And Disciplinary Actions

When state or federal regulators set their target on a financial professional, the stakes are high. An investigation alone can harm a financial professional’s personal and professional reputations. Disciplinary actions require the guidance and aggressive advocacy that only a focused and well-seasoned securities industry lawyer can provide.

Experienced Full-Service Regulatory And Disciplinary Action Attorneys

There are few law firms in the country that handle all aspects of securities industry employment, arbitration and litigation. Because we do, we have the necessary experience to recognize and manage all of the contours of SEC, FINRA or California state enforcement actions. At Girard Bengali, APC, our attorneys have earned an unparalleled reputation for our in-depth understanding of the securities industry and for our aggressive advocacy, effective legal representation and unparalleled service to our clients.

Our goal is to devise strategic and innovative solutions that are well-grounded in the law to obtain the best possible results for our clients. Our expansive experience can be your advantage in a disciplinary action. We provide knowledgeable guidance, including advice to implement preventative or corrective measures as appropriate. We work hard to obtain meaningful results, including mitigating the consequences of regulatory actions.

As part of effectively managing all aspects of FINRA and SEC investigations and disciplinary actions, we engage in proactive discussions with state and federal regulators at the earliest stages of the process. We can provide you with solid legal advice and powerful representation across the spectrum of enforcement actions, such as:

  • Responding to FINRA inquiry letters and requests for documents and information
  • Providing guidance and strategic representation related to on-the-record (OTR) interviews
  • Analyzing Wells notices and preparing Wells submissions
  • Serving as strong advocates in disciplinary hearings
  • Providing tactful and skilled representation negotiating settlements, including FINRA letters of acceptance, waiver and consent
  • Internal brokerage firm investigations and employment disputes

Contact Our Experienced FINRA And SEC Lawyers

To arrange a consultation with a seasoned FINRA, SEC and regulatory lawyer in the Los Angeles financial district, call 323-302-9579 or send us an email now. We can review your circumstances and guide you through the investigatory and regulatory process.