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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.