Regulatory Inquiries and Proceedings

The securities industry is heavily regulated by governmental agencies, certain self-regulatory organizations (SROs), as well as certain financial services organizations, including the SEC, FINRA, state securities regulators and other regulatory bodies, in addition to the Certified Financial Planner Board of Standards, Inc. (CFP Board). Our firm handles a broad range of financial services-related matters including:

• FINRA On-The-Record Interviews (FINRA OTRs)

• FINRA Acceptance, Waiver and Consents (AWCs)

• FINRA Wells Notices

• SEC Subpoena Defense

• CFP Board Disciplinary Defense

When a securities industry professional is targeted by a governmental investigation or subject to inquiries from a securities regulator, it is imperative that he or she engage counsel as soon as possible in order to protect his or her rights and appropriately manage the scope of the inquiry or investigation. The firm is experienced in representing financial advisors and other licensed securities professionals, offering sound and pragmatic counsel in connection with various regulatory matters.

The attorneys at Giarrusso Law Group LLC have significant experience in handling all manner of legal claims and issues unique to the securities industry. Please contact us by telephone at (201) 771-1115 or by email at info@gialawgroup.com for a no-cost, confidential consultation.