The parameters of supervision responsibilities can be difficult to discern. If you have questions in this area or are being targeted in this type of action, I’ll conduct a detailed review to identify evidence that suitable procedures were in place and that supervisors correctly discharged their duties.

Allegations of deceptive sales practices are often leveled without proper justification, particularly when an investment does not work out as the investor hoped. My firm handles cases involving accusations of misrepresentation, churning, and other sales practice allegations by aggressively challenging the claims and asserting all possible valid defenses.

If you are facing discipline based on a regulatory violation, I have experience helping individuals and firms effectively respond to FINRA/SEC allegations and maintain their ability to practice their profession.