Regulatory Compliance

LGWM’s Securities Practice Group has represented numerous individuals, broker dealers, investment advisors and other financial service providers confronted with regulatory investigations, examinations and disciplinary proceedings. We have handled regulatory matters brought by the SEC and FINRA, as well as state securities commissions in Alabama, Arkansas and Mississippi. We are well equipped to assist clients in regulatory matters from the initial receipt of notice through litigation. We stay abreast of all hot topics that the regulators are looking at during audits and work closely with our clients to develop the best strategy for responding to regulators.

Cases of Note

  • Represented Registered Representative against regulatory claims brought by the SEC and the State of Arkansas for allegedly engaging in fraudulent conduct when selling securities to seniors.
  • Represented Broker Dealer in regulatory action brought by the Mississippi Secretary of State for allegations of failing to maintain appropriate supervisory controls and document retention.
  • Represented registered representative in regulatory actions brought by the Georgia Securities Commission, Alabama Securities Commission, Department of Labor, and the FINRA Disciplinary Enforcement Division.
  • Represented registered representative in FINRA Investigation in case regarding mutual fund sales.
  • Represented registered representative in a FINRA Enforcement action regarding inappropriate private deals with customer.
  • Represented registered representative in FINRA Enforcement action regarding loans from clients.
  • Represented an Investment Advisor in an investigation by the Georgia Securities Department.