REGULATORY DEFENSE

Overview

DID YOU THINK THAT THEY WOULDN’T COME AFTER YOU?
DID YOU THINK YOU DIDN’T NEED COUNSEL BECAUSE IT WAS JUST A DOCUMENT REQUEST?
ARE YOU KICKING YOURSELF THAT YOU DIDN’T TAKE THE DEPOSITION MORE SERIOUSLY?
DO YOU REALIZE HOW MUCH HARDER YOU JUST MADE IT FOR YOURSELF BY DEALING WITH IT BEFORE IT BECAME A FORMAL INVESTIGATION?

Sometimes, it starts innocently enough. They are investigating another firm and they heard that you sold some of the other firm’s product to your clients. They just want some more information about a recent arbitration with a client and the adviser that is now on heightened supervision. Or maybe it is just a routine examination and you think they are just asking some follow-up questions on some of the documents you provided.
What you say can and will BE USED AGAINST YOU.
Before you decide on hiring counsel, read our FREE report, “7 things advisers wish they knew BEFORE they decided to deal with SEC Enforcement themselves“.

can feel like there is nothing worse than facing a fine, enforcement action, or litigation at the hands of a state regulator, the SEC, or FINRA. At the end of the day, you and your firm are the deep pockets and regulators want to scare you into filling their coffers.
Simple failures can lead to HUGE fines.

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We routinely work with advisers and firms who have received or are subject to:

HOW WE WORK

  • 1. Rule 8210 Requests
  • 2. On The Record interviews (OTRs)
  • 3. Wells Notices
  • 4. Enforcement actions
  • 5. Letter of Acceptance, Waiver and Consent (AWC)
  • 6. Registration/licensing matters and investigations before the Georgia Department of Insurance
  • 7. Investigations, complaints, and other disciplinary actions initiated by the Certified Financial Planner Board of Standards
You want to be smart about how you handle any sort of investigation, because sometimes it starts out without any overt threat. Get ahead of any formal investigation by dealing with the issues NOW.