Financial Services Regulatory Investigations
We have handled a wide variety of FINRA, SEC and state securities enforcement matters with outstanding results. Alan Rose, Jr. has represented public company employees, broker dealers, hedge funds, and financial advisors across the country in inquiries and investigations related to: fraud and embezzlement, stock-option backdating, “pay-to-play” pension fund fraud, annuity sales practices, unsuitable investments, churning, insider-trading, improper use of liquified home equity proceeds, “cheating” on internal and external continuing education exams, improper use of client funds/accounts, licensing issues, and improper marketing and sales techniques. We have handled FINRA matters and SEC investigations originating in Massachusetts, New York, Michigan, Florida, Ohio, California, Virginia, Maryland, and Delaware. In addition, we have represented financial advisors in expungement efforts and state securities licensing issues. In representing financial advisors, we work cooperatively with in-house and outside counsel representing broker dealers.