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Regulatory Investigations

We represent firms and individual professionals in responding to government subpoenas and Rule 8210 requests as well as On the Record (OTR) interviews and grand jury proceedings. Similar investigations may be initited by state insurance regulators or licensing agencies.

When a broker or firm receives a FINRA Rule 8210 letter requesting information or indicating that they may be the subject of a FINRA investigation, or a “Wells Notice” advising that the SEC or FINRA is contemplating bringing an enforcement proceeding for a violation of the securities laws and regulations, or any similar request or subpoena from a regulator, our legal team takes decisive action to help clients prepare a proper response. Although such requests are often very broad in scope, the time frames to comply with them are usually short. We perform a thorough review of the matter, advising our clients on how to best cooperate and minimize their exposure to potential disciplinary proceedings and sanctions. We can initiate an iterative process of communication with the regulator, providing information as it becomes available and clarifying or limiting the scope of the records being sought, with the goal of establishing that the OTR interview can be avoided, or if it does proceed that no adverse findings are imposed.

Co-Managing Partner - Chicago Office
Co-Chair, Financial Services Practice Group
Chicago, Illinois
Co-Managing Partner - Florida Office
Co-Chair, Financial Services Practice Group
Fort Lauderdale, Florida
Co-Managing Partner – Chicago Office Chicago, Illinois
Attorney Chicago, Illinois
Partner Chicago, Illinois
Super Lawyers Martindale Hubbel AV Preeminent Law 360