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SEC, FINRA & Regulatory Investigations

Representing Firms, Registered Representatives and Individuals in SEC, FINRA and Other Regulatory Proceedings

Shustak Reynolds & Partners' Securities Practice Group has over 37 years' experience in securities regulatory and compliance matters. We represent broker-dealers, investment advisers, their registered persons and others in defense of SEC and Finra examinations, investigations and enforcement matters; in various compliance and risk management projects; and with internal investigations. In this practice area, three overarching factors and trends drive strategy for the vast majority of matters: first, the virtually complete linkage between civil claims and regulatory investigations; second, the continuing and increasingly effective cooperation amongst all securities regulators and criminal authorities, particularly the various U.S. Attorneys' offices around the country; and, third, the increasing insistence of securities regulators on fundamental and sustainable integrity of the systems and processes of regulated entities. Thus, compliance and risk management, on the one hand, and regulatory/enforcement defense, on the other, are inextricably linked, now more than ever; well-designed and effective internal investigations often provide a key tool to improve client outcomes in this environment. Some further detail on the types of services we provide:

  • SEC Investigations and Enforcement Matters
  • FINRA Examinations/Investigations/Enforcement Matters
  • Broker-Dealer and Investment Adviser Compliance/Risk Management
  • Internal Investigations

To learn more about securities regulatory and enforcement defense contact the attorneys at Shustak Reynolds & Partners today!