Regulatory Compliance

 LGWM’s Securities Practice Group has represented numerous individuals, broker dealers, investment advisors and other financial service providers confronted with regulatory investigations, examinations and disciplinary proceedings. We have handled regulatory matters brought by the SEC and FINRA, as well as state securities commissions in Alabama, Arkansas and Mississippi. We are well equipped to assist clients in regulatory matters from the initial receipt of notice through litigation. We stay abreast of all hot topics that the regulators are looking at during audits and work closely with our clients to develop the best strategy for responding to regulators.