Regulatory Enforcement Representation
What to Do When You Receive a Letter of Investigation
Regulatory Enforcement Representation ◊ Wall Street and Nationwide
If you’re a broker, what should you do when you receive a letter of investigation or a subpoena from FINRA, the SEC or a state regulatory agency?
Call an attorney. If you fail to take action, you could end up with negative “marks” on your public record. Worse yet, you could end up having to pay heavy fines, losing your license or being barred from the securities industry forever.
Having representation against regulatory enforcement matter is no guarantee that you’ll be cleared of the accusations leveled against you.
While no attorney can assure the outcome you want, it is essential that you act quickly, and find a lawyer whom you know you can trust with your career, your livelihood and your future.
Over 35 years of Experience ◊ National Reputation for Excellence
Our lead attorney providing regulatory enforcement representation is David E. Robbins. Mr. Robbins has over 35 years of experience in this rather specialized area of law.
He is the author of Securities Arbitration Procedure Manual — the authoritative work used daily by law schools, law firms and brokerage firms nationwide. He has written over 40 published articles and is frequently sought for commentary from national news media. He has extensive experience representing brokers for issues regarding:
- Regulatory and self-regulatory agency investigations and prosecutions
- Allegations of broker misconduct by customers
- Investment fraud investigations by regulators
- Broker negligence and failures to disclose risk by customers and regulators
Of course, this is only a partial list. You can find a more complete one here. But rest assured, Mr. Robbins’ knowledge and competency in regulatory enforcement representation are comprehensive.