Securities Industry Disciplinary Actions

Securities Industry Disciplinary Actions

Along with the document discovery conducted by FINRA, the SEC, and state regulators, you will likely also face what is called an on-the-record (OTR) hearing where you will have to provide sworn testimony under oath. DO NOT GO IT ALONE! You have too much to lose, including your license. We can help you prepare and help you through this process.

U5 Termination Forms

U5 form illustration

It’s important to fill out the 24-page U5 form correctly, properly, and ethically. Let us help you do this right and avoid liability.

Our Law Firm Provides Legal Counsel & Representation for SEC Compliance and Supervision.

|Securities Practice|

Compliance Policy and Code of Ethics a.k.a. Written Supervisory Procedures

We can either build your Written Supervisory Procedures from scratch or evaluate and strengthen what you have already, depending on your needs. Read More »
|Securities Practice|

Annual Audits and Mock Audits

Let us help you prepare for your upcoming audit by SEC or FINRA and stress test your written supervisory procedures in the field. Read More »
|Securities Practice|

SEC / FINRA Regulatory Examinations and Inquiries

We have handled dozens of periodic SEC and FINRA regulatory exams and inquiries over the past twenty years, and numerous inquiries from state securities and insurance regulators. Let us put that experience to work for you. Read More »
|Securities Practice|

Disciplinary Proceedings

The SEC and FINRA are tougher on firms – and brokers – these days than they have ever been. Protect your reputation with the help of securities attorneys who know their business. Read More »
|Securities Practice|

Annual Filings

As an RIA firm, you have certain filing requirements you must meet every year. Mistakes can cost you. Read More »
|Securities Practice|

Other Compliance Services

Depending on your level of need, we can provide most all services needed to keep your firm compliant, from routine record-keeping to branch-level supervision and product due diligence. Read More »

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Contact the Attorneys at Law Offices of Christopher H. Tovar, PLLC.

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Securities Practice Group

The Law Offices of Christopher H. Tovar, PLLC
3990 Chilson Road
Howell, MI 48843
(832) 370-3908

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The Law Offices of Christopher H. Tovar, PLLC are headquartered in Southeast Michigan. Christopher H. Tovar is licensed in Michigan, Texas, Florida, New York, and Illinois and operates nationwide.*

* Michigan, Florida, Illinois, California, and New Jersey require bar membership to arbitrate FINRA cases in their jurisdictions. The Law Offices of Christopher H. Tovar, PLLC maintains relationships with attorneys in all 50 states and can arbitrate your case on a pro hac basis.

Tags:   securities industry disciplinary actions broker dealer disciplinary proceedings investment advisor disciplinary proceedings

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