If you are a securities professional – e.g., a Registered Representative, an Investment Adviser, or a Compliance officer – you know that your livelihood rests on two pillars: your professional license and your reputation. Both of those irreplaceable assets may be placed in jeopardy if you become the subject of an Enforcement action by the SEC, FINRA, or some other securities regulator. You can be fined thousands or even tens of thousands of dollars, and your license can be suspended or even revoked altogether. And of course, your professional reputation will be in tatters, rendering you untouchable by prospective employers. Worse still, unlike prosecutors and civil litigants who must prove their cases in public courts of law before neutral judges and lay juries, securities enforcers can prosecute their cases in their own private administrative tribunals, presided over by their hand-picked hearing officers, under their own rules, with appeals to their own agency. If it sounds like the deck is stacked against you in this scenario, you’re 100% right. Should you find yourself in that unfortunate situation, you need an experienced hand who has successfully defended securities professionals in regulatory investigations. Besides being a former prosecutor, I worked in the securities industry as Deputy General Counsel for a major broker-dealer, and I am very familiar with the industry, its rules, and its enforcers. Please call me for a free initial consultation.