Navigating investigations and enforcement actions from the SEC (U.S. Securities and Exchange Commission) and FINRA (Financial Industry Regulatory Authority) can be challenging. These regulators are aggressive in their pursuit of alleged violations, and the risk of private lawsuits or class actions only adds to the complexity. If you’re facing a regulatory investigation or enforcement action, it is crucial to have an experienced legal counsel who can guide you through this stressful and high-stakes process.
At Jacko Law Group, our seasoned attorneys provide strategic counsel and representation to help clients navigate SEC investigations and enforcement actions. With in-depth knowledge of the financial services sector, including major banks, funds, insurers, and other financial institutions, we are equipped to handle every stage of the enforcement process. From responding to informal and formal requests for information to representing clients during on-the-record testimony and the Wells process, our team is ready to advocate for you.
In addition, we represent clients in SEC enforcement hearings and appeals of decisions made by the SEC’s National Adjudicatory Council. Whether it’s managing disputes or handling complex securities litigation, we ensure our clients are fully supported.
In addition to SEC matters, our attorneys also represent clients in FINRA regulatory investigations and enforcement actions across the country. Our clients include broker-dealers, registered representatives, and associated persons who may be subject to regulatory scrutiny or facing arbitrations, including disputes with customers or industry peers.
We have extensive experience representing clients in FINRA arbitrations, hearings, and appeals. Whether related to Form U4/U5, BrokerCheck disputes, or defending against allegations in enforcement hearings, our team is well-versed in all aspects of FINRA regulations and processes.
Our attorneys are highly skilled in managing all stages of SEC and FINRA proceedings, offering guidance on issues ranging from preliminary investigations to formal hearings and appeals. We are also experienced in responding to a range of allegations, including:
Our team is fully equipped to handle the defense and or prosecution of allegations such as these, and we work tirelessly to protect their interests.
One of the distinguishing features of our practice is our proactive approach to both legal counsel and industry management. Our attorneys are thought leaders who bring experience not only as litigation attorneys but also as former financial services and regulatory compliance professionals. This unique combination allows us to offer a comprehensive approach to both securities litigation and enforcement matters, ensuring that our clients are positioned for success.
Whether you’re a broker-dealer, investment adviser, hedge fund manager, investment advisor, financial planner or any other financial professional or entity in the financial services sector, our attorneys bring an insider’s perspective to help you navigate regulatory hurdles effectively.
If you’re facing a regulatory inquiry, investigation, or enforcement action, contact us today to discuss your options.