Financial Services Regulatory Investigations
Boston Securities & Regulatory Investigation Counsel
Rose Law Partners has successfully represented clients in a wide variety of Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and state securities enforcement inquiries and investigations.
Highly Experienced in Financial Services Regulatory Inquiries & Investigations
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 investment of liquefied 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.
Representing Financial Services Companies in Boston, Massachusetts & Nationwide
We have handled FINRA and SEC investigations 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. Contact us today!