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Regulatory Counseling and Investigations for Advisers and Other Financial Services Entities

When working in the highly regulated financial services industry, it is imperative that you enlist legal counsel with experience and industry knowledge on regulatory, compliance, and enforcement matters. The Castle Law Firm has a wealth of experience representing broker-dealers, investment advisers, registered representatives, and other financial services professionals in compliance and regulatory matters—including investigations, examinations, and enforcement actions initiated by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state securities regulatory agencies, and other self-regulatory organizations (SROs). Some of the types of matters the firm handles involve:

  • CRD, Form U4, and Form U5 disclosures
  • Securities fraud
  • Market manipulation
  • Insider trading
  • Sales practice violations
  • Regulatory examinations and inquiries into potential violations of SEC, FINRA, and SRO rules and regulations
  • Civil actions

The Castle Law Firm regularly monitors financial regulatory rules to help ensure our clients are aware of any new policies or procedures—while also assisting them in implementing any necessary changes to their operations.

Client Reviews

Rob and his firm assisted with a number of formation and start up issues for my new business venture. He is an intelligent attorney and a pleasure to work with. I will continue to use The Castle Law Firm in the future. Highly recommend.

John M.

As first-time franchise buyers, we didn't know what to expect. Rob walked us step-by-step through our franchise agreement and FDD, answering any questions and easing our concerns. He pointed out potential risks and terms to negotiate, and has been there for any business questions along the way. Rob...

Mike W.

I had an excellent experience working with Mr. Castle as my attorney. Mr. Castle reviewed several detailed contract issues with me. He was able to answer all of my questions, provide valuable insight and suggestions in a way I could easily understand. Mr. Castle is knowledgeable, as well as...

Shawn M.

Great, professional service. I have been working with The Castle Law Firm on some business matters, and have been blown away by their attention to detail and professionalism. Rob is extremely responsive and gets work done quickly. I would recommend this firm to anyone needing legal/business...

Andres J.

Rob Castle provided me with beneficial legal counsel when forming my various LLCs, and has served as a great resource while running my businesses. He is very professional, and I recommend his firm’s services.

Richard Y.

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