Regulatory Counseling and Investigations

Comprehensive Counsel For FINRA, SEC, State and Other SRO Matters

The attorneys at Lewitas Hyman include former senior attorneys at the SEC, whose legal experience and industry knowledge make them uniquely qualified to provide counsel on securities regulatory, compliance and enforcement matters.

Our attorneys fully understand the regulatory scrutiny financial professionals and their firms face from the various regulators that oversee the financial services industry. We have decades of experience representing clients with respect to examinations, investigations and enforcement proceedings initiated by the SEC, the Financial Industry Regulatory Authority (FINRA), state securities regulatory agencies and other self-regulatory organizations (SRO).

Additionally, we regularly monitor SEC, FINRA and other SRO rule-making activities to help ensure that our clients are aware of any new policies, while assisting them in implementing any recommended changes. Our clients include broker-dealers, RIAs, banks, investment companies and hedge funds, along with registered representatives and other individuals participating in the securities industry.

When it comes to regulatory compliance and enforcement matters, our attorneys have dealt with investigations and enforcement actions stemming from allegations relating to:

  • Regulatory examinations.
  • CRD, Form U4 and Form U5 disclosures.
  • Form ADV disclosures.
  • Regulatory inquiries, subpoenas and deficiency letters.
  • Insider trading.
  • Securities and financial fraud.
  • Ponzi schemes.
  • Market manipulation.
  • Sales practices.
  • Violations of SEC, FINRA, and SRO rules and regulations.
  • Matters involving potential or actual parallel civil actions.

We also are often retained to perform internal investigations to identify potential issues before regulatory inquiries are initiated. When such inquiries are initiated, as a result of our extensive experience working in these matters, we know how to engage regulators in productive discussions while at the same time providing vigorous advocacy to protect the firm’s interests.

If your firm is facing an investigation from a regulatory agency, please contact Lewitas Hyman at (312) 291-4600 or through our online contact form.