Financial Industry Regulation & Enforcement Actions

Regulatory scrutiny can create serious challenges for financial professionals and firms. Matasar Jacobs provides experienced counsel to clients facing investigations, enforcement actions, and compliance issues involving FINRA, the SEC, and state securities regulators.

Our attorneys combine a deep knowledge of the financial services industry with practical insight into how regulators operate. We focus on protecting careers, reputations, and business operations while guiding clients through the complexities of regulatory proceedings. Whether responding to informal inquiries or defending against formal enforcement actions, we deliver clear strategies and strong advocacy at every stage.