Securities Regulatory and Compliance Matters
Griffin Law Firm regularly represents broker-dealers, investment advisers, registered representatives and others in the investment services arena with respect to matters involving enforcement issues, regulation and compliance.
The securities industry is a stringently-regulated area of business. Companies and individuals participating in the securities industries are subject to various overlapping and cumulative federal and state laws and to regulation by the United States Securities and Exchange Commission, securities commissioners of each state in which they conduct business and, for securities brokers and representatives, the Financial Industry Regulatory Authority (FINRA). Only constant, competent and dedicated legal advice and representation prevents financial services industry participants from running afoul of this complex legal and regulatory structure.
Griffin Law Firm advises its clients on issues including formation, regulation, reporting, supervision, and policies and procedures. If questions or accusations of non-compliance are levied by regulatory authorities, aggrieved investors or law enforcement authorities, it is essential to secure regulatory counsel immediately.
Griffin Law Firm has extensive experience in the securities regulatory arena. Keith Griffin has worked with regulators, serving as an Enforcement Attorney with the Indiana Securities Division. The firm represents firms and individuals in investigations and proceedings brought by the SEC, NASD (now FINRA) and many state securities regulators. Keith brings knowledge, experience and dedication to representing clients in this area. We are qualified and prepared to assist securities industry participants to avoid regulatory problems, and to help resolve any securities regulatory issues that might arise.
FINRA recently fined former Texas-based Morgan Stanley and Ameriprise broker Steven Yellen $25,000 for unauthorized ...