Jacobson Law P.A. represents financial advisors in informal and formal inquiries, investigations, and examinations and defends enforcement actions brought by securities regulators such as the Financial Industry Regulatory Authority, Inc. (“FINRA”), the New York Stock Exchange (“NYSE”), the U.S. Securities and Exchange Commission (“SEC”), and the U.S. Commodity Futures Trading Commission (“CFTC”), as well as state agencies such as the Florida Office of Financial Regulation and its counterpart agencies in other states and jurisdictions.
We have extensive experience working cooperatively with regulators to address their concerns and resolve any issues early in the process before the commencement of formal enforcement proceedings. In those cases where a censure, fine, sanctions, or some other form of penalty is unavoidable, we have experience negotiating with regulators to minimize those penalties and avoid formal charges. And if an agreeable resolution is not immediately possible and formal enforcement proceedings are required, we are prepared to vigorously defend you.
Above all, we are sensitive to our clients’ needs and concerns; and we always work to minimize the potential consequences of an investigation — including disclosure obligations, unwanted publicity, and exposure to civil claims brought by clients, employers, issuers, and others.
If you are the subject of an informal or formal investigation, contact Jacobson Law P.A. to discuss the specific facts of your case.