FINRA Enforcement Actions

Our expertise extends beyond courtroom litigation of private securities actions, SEC enforcement matters, and a variety of industry-specific issues in FINRA arbitrations. We represent financial institutions, broker-dealers, advisors, and other professionals on both Enforcement Division cases initiated by FINRA as well as disputes between parties operating within the securities sector.

At times, industry professionals face daunting requests for documents and responses to inquiries. Failing a proper response can initiate an investigation by the Financial Industry Regulatory Authority (FINRA). Such investigations involve formal statements akin to depositions called “On The Record” declarations that may lead FINRA to find enough evidence to issue charges.

Recent Representations

We are equipped with the expertise needed in such scenarios — providing counsel on responding safely while mitigating client exposure should any charge be issued; this includes pointing out weaknesses within FINRA’s proof or vigorously contesting it all together in an arbitration proceeding.

Besides FINRA Enforcement Inquiries, we have successfully handled many cases involving brokers and financial advisors concerning non-compete agreements, partnership & employment disputes, promissory note & employee forgivable loan FINRA arbitration cases, and investor claims based on fraud, negligence, unsuitability, or breach of fiduciary duty, among others.



Daniel Fridman

Washington, DC


Adam S. Fels



Alejandro O. Soto