The attorneys at Cosgrove Simpson have decades of experience representing businesses, financial professionals, investment advisers, broker-dealers, and individuals in complex regulatory investigations and enforcement actions. We develop strategic, results-driven defense plans to help clients respond effectively to inquiries from state and federal regulators while protecting their businesses, licenses, and reputations.
Our attorneys have successfully defended clients in matters involving the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), state securities regulators, and other federal and state agencies. From the earliest stages of a regulatory inquiry through formal investigations, enforcement proceedings, and negotiated resolutions, we provide experienced counsel and vigorous advocacy at every step.
Our regulatory defense practice includes representation in:
- FINRA investigations and disciplinary proceedings
- SEC investigations and enforcement actions
- State securities and regulatory investigations
- Civil enforcement actions
- Criminal investigations and prosecutions involving securities matters
- Securities-related litigation
- Negotiation of complex settlements and consent orders
- Internal investigations and regulatory cooperation
- Compliance counseling and risk management
- Development and enhancement of compliance policies and programs
Our legal team includes attorneys and professionals with diverse backgrounds, including former regulators, providing valuable insight into how regulatory agencies investigate and enforce securities laws. This experience allows us to anticipate regulatory concerns, develop effective defense strategies, and guide clients through every stage of the process with confidence.
At Cosgrove Simpson, we understand that regulatory investigations can significantly impact a client's business, professional license, and reputation. Our goal is to resolve matters as efficiently as possible while achieving the best possible outcome for every client. Whether you are responding to a FINRA inquiry, facing an SEC investigation, or navigating another regulatory enforcement or registration matter, our experienced team is prepared to protect your interests.