Guidance Throughout The Regulatory Process
Many professionals in the financial and securities industries must comply with very specific state and federal rules as part of their daily activities. Understanding which rules apply to which situations can quickly become confusing, and it can be difficult to stay informed about what must be done in order to stay in compliance.
Ford O’Brien Landy LLP has helped many individuals and companies who are facing regulatory concerns. Our attorneys have helped clients navigate what is often a very complex area of law.
Helping Clients See The Big Picture
Often, many of the issues that we see have two components, both criminal and civil exposure.
Our attorneys have extensive experience resolving both civil and criminal aspects of these cases. When we examine our clients’ situations, we want to make sure that the approach we take puts them in the best possible position for success.
Our lawyers have handled a number of high-profile regulatory cases, including:
- Securities and Exchange Commission (SEC) matters
- Banking issues relating to the Federal Reserve Board
- Cryptocurrency compliance and regulatory defense
- Accounting defense
- FINRA defense
- Data breaches and suspicious activity reports (SARs)
- Other state and federal regulatory bodies
In some situations, it may be necessary for clients to appear at a hearing before one of these administrative agencies. Our attorneys are prepared to represent clients at these hearings, and will do everything possible to ensure our clients’ rights are protected at all times.