Regulatory Responses

Response to inquiries from the SEC, FINRA or other regulators must be prompt, carefully considered and accurate in addressing each issue or deficiency, particularly if allegations of a securities law violation are involved.  We have extensive experience in responding to SEC, FINRA and other regulatory inquiries, and we are prepared to respond to your legal issues and claims, including regulatory inquiries related to cycle and sweep examinations, improper trade practices, and/or disclosure issues.