Regulatory Investigations

Gregory B. Simon Law, LLC represents and defends financial advisors during inquiries, investigations and enforcement proceedings brought by FINRA, the SEC, and various state regulatory agencies. Regulators have broad powers to request information, documents or even on-the-record testimony of advisors even before filing an enforcement action. Gregory B. Simon Law has experience analyzing and responding to FINRA Rule 8210 requests and government subpoenas as well as representing financial advisors in on-the-record interviews and other investigations. Even informal inquiries from a regulatory body can ultimately lead to a full-blown enforcement action if not properly addressed.

If you are a financial advisor with a question regarding a regulatory matter, please contact Gregory B. Simon Law today for a free, confidential consultation.

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