We regularly represent broker-dealers, investment professionals and other licensed individuals in investigations or enforcement actions initiated by regulatory agencies. We have handled FINRA investigations relating to unauthorized trading, failure to perform adequate due diligence, failure to disclose, misrepresentation, unsuitability, lack of supervision, and complaints resulting from customer arbitrations or litigation. We have handled dozens of such investigations, and are asked to handle particularly sensitive matters when our clients believe an investigation may be initiated. We also handle SEC matters relating to similar conduct, including SEC actions convened against RIA firms resulting from either annual audits or specific areas of regulatory emphasis.
We know the regulatory process, potential pitfalls, and how to navigate such matters, particularly when there is pending or potential litigation that may arise out of the same alleged conduct. We recognize that these types of investigations or inquiries carry significant risk which often goes beyond financial risk, and we handle such matters with a particular sensitivity to those concerns.
This area is a specialized one, and we have a breadth of knowledge and expertise that comes from significant experience handling such matters. Attorney Nagy has an array of experience handling day-to-day broker-dealer regulatory/compliance issues with firms of all sizes and types.