Our Securities Enforcement Defense practice is dedicated to protecting financial advisors whose careers and reputations are threatened by regulatory scrutiny. Matasar Jacobs has represented advisors nationwide in internal firm investigations as well as enforcement actions brought by FINRA, the SEC, and state securities regulators. At every stage, we focus on safeguarding regulatory records and preserving our clients’ ability to keep working in the industry.

We are often brought in at critical moments: sometimes during firm compliance inquiries, but more often after advisors learn they are under investigation for alleged misconduct or sales practice violations. In these high-stakes situations, we provide clear strategies and strong advocacy to minimize disruption and defend our clients’ futures.

We regularly represent advisors facing allegations related to:

• Suitability and disclosure issues;
• Supervisory or compliance failures;
• Sales practice violations;
• Misrepresentations or omissions; and
• Other regulatory or ethical concerns.

Our attorneys bring a nuanced understanding of the regulatory landscape and the realities of financial services practice. We guide clients through every stage of the process, including informal inquiries, on-the-record interviews, Wells Notices, and formal enforcement proceedings.

Even the appearance of misconduct can jeopardize a career built on trust. That’s why we act quickly and decisively to protect our clients’ reputations, advocate their positions, and pursue favorable outcomes. Our goal is to challenge regulators’ efforts to disrupt our clients’ careers, preserve their livelihoods, and allow them to move forward with confidence.