Are you a financial advisor or registered representative who needs legal representation in a regulatory inquiry brought by FINRA, the SEC, or a State Regulatory body?
The White Law Group may be able to help.
With over 30 years of securities experience, including substantial experience working at the SEC and FINRA on enforcement actions, The White Law Group is able to provide financial professionals with the necessary skills they need in defending a securities regulatory or enforcement proceeding.
The White Law Group’s securities regulation and compliance attorneys are experienced in all aspects of federal and state securities laws. Our securities regulatory, enforcement and compliance practice entails handling securities industry arbitrations; responding to Securities and Exchange Commission (SEC) and FINRA investigations; and defense against SEC and FINRA enforcement and administrative proceedings.
We represent clients at each critical juncture in an SEC and FINRA enforcement proceeding, including from an initial inquiry, a formal investigation, or even any resulting litigation (including during settlement negotiations, pre-trial hearings, administrative hearings, and federal trials). We also have experience preparing “Wells” submissions and negotiating Acceptance, Waiver & Consent (“AWC”) agreements.
If you have any questions or would like to discuss your specific situation, please contact The White Law Group, LLC at 312-238-9650 for a free initial consultation.
Or, for more information on the Firm and our attorneys, please visit our website at https://whitesecuritieslaw.com.Tags: Acceptance Waiver & Consent agreement, administrative hearing, Financial Advisor, FINRA, FINRA enforcement proceeding, registered representative, regulatory body, regulatory inquiry, SEC, securities compliance, securities compliance attorney, securities compliance lawyer, securities enforcement, securities regulation, securities regulation attorney, securities regulation lawyer, state regulatory agency, stockbroker, The White Law Group, Wells submission Last modified: July 17, 2015