Securities Regulatory & Enforcement


CMX's Securities Regulatory & Enforcement practice provide comprehensive and practical counsel to broker-dealers, investment advisers, public companies, financial services firms and individuals facing regulatory investigations, exams and sweeps, and enforcement actions.

We work with and defend our clients during inspections, examinations, and sweeps led by SEC, FINRA, and state securities regulators. We advise on examination practices and offer mock audit support to broker-dealers, registered investment advisers (RIAs), and private fund managers and also conduct internal investigations and counsel management and boards of directors on all types of securities industry matters.

CMX lawyers regularly navigate and guide broker-dealers through a wide array of regulatory and enforcement matters; including: inspections and examinations by state securities regulators, SEC, and FINRA; examination practices and mock audit support; registration requirements and exemptions from registration; defense of complaints alleging violation of securities laws; SEC, FINRA and state investigations and enforcement actions; private placement matters; registration requirements and exemptions, investment adviser registration and exemption issues; written supervisory procedures, including drafting and updating. CMX lawyers also advise clients on employment cases involving securities professionals (such as those involving claims of wrongful termination, harassment and discrimination, defamation, theft, non-performance and termination issues and compensation disputes), and enforcement or defense of restrictive employment, non-compete and non-solicitation agreements.

CMX lawyers base their advice on a thorough understanding of each client’s unique business model, circumstances, and specific goals and in doing so help our regulated clients evaluate the potential collateral consequences of entering into a regulatory settlement or consent. Our lawyers advise on how to structure settlements to avoid or minimize consequences to their business.

Legal practitioners and clients sometimes approach securities and financial services litigation fatalistically, believing that these cases must be prolonged, expensive, and distracting affairs. CMX lawyers reject that assumption. Our goal is not simply to secure positive results for our clients, but to do so efficiently, discreetly, and with minimal business disruption.

Please contact CMXLaw with any inquires you may have.