Regulatory/Enforcement

Strength in numbers

Our consulting and legal expertise includes the defense of enforcement and/or administrative-related activities with the SEC, FINRA, NYSE and other commodity exchanges, as well as regulatory matters with federal agencies such as the FDIC, OCC, FRS, OTS and NCUA.

As such, we successfully defend clients in regulatory inquiries, assisting our clients with responding to requests for information and documents (including 8210 requests before FINRA and Matters Under Inquiry, or “MUIs”, before the SEC), regulatory audits, On-The-Record (OTR) examinations, preparing “Wells” submissions, and negotiating Acceptance, Waiver & Consent (AWC) agreements. FMG’s lawyers are also experienced in state-related enforcement actions, having represented clients before regulators in numerous states.

Professionals

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