Over the course of a career, the odds are that even the best financial advisors and firms will eventually face an investigation from FINRA or another regulator. The Securities Regulatory defense team at Matasar Jacobs possesses substantial experience covering the full spectrum of securities enforcement activity.
Whether you receive an informal inquiry letter prompted by a baseless customer complaint, or a more serious proceeding triggered by a mistake or momentary lapse in judgment, regulatory investigations can quickly become a major business distraction. If not handled properly, your reputation or even your career could be in danger.
The lawyers at Matasar Jacobs are especially knowledgeable about FINRA as an agency, and maintain excellent relations with internal investigators and FINRA’s Department of Enforcement. We have secured favorable results for our clients in both investigations and formal enforcement proceedings.
Increasing your chances of escaping unscathed requires hiring counsel with focused experience most attorneys don’t have. You’ve spent years building your practice to where it is today. When it’s all on the line do you really want to entrust your defense to a lawyer who’s not highly experienced with FINRA? You wouldn’t go to an orthopedist for brain surgery — it’s no different with lawyers. Matasar Jacobs has a practice group devoted to defending advisors and firms facing disciplinary action from FINRA, the SEC, and state financial regulators all around the country.
Hire an attorney who is experienced in guiding advisors, brokers and firms through proceedings with FINRA. We can efficiently evaluate the situation and develop a strategy for avoiding or minimizing the danger posed to your business and livelihood. This cumulative experience differentiates Matasar Jacobs from the competition, ultimately providing clients with the right legal representation to seek a favorable outcome.
Scott Matasar, Esq. is a founding Member at Matasar Jacobs LLC. His legal practice focuses on representing firms and individuals in the retail securities industry. Among other things, he regularly defends clients in FINRA customer arbitration cases, represents advisors under disciplinary investigation by FINRA as well as state and federal regulators, and counsels both firms and advisors on a wide range of securities, regulatory and operational issues, including transition matters.
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