Becker provides comprehensive legal representation to broker-dealers and registered representatives facing FINRA disciplinary proceedings. Our experienced attorneys navigate the complexities of FINRA rules and procedures, defending clients against allegations of misconduct.
We represent clients in FINRA arbitration and regulatory proceedings, respond to FINRA inquiries, negotiate settlements with FINRA staff, and litigate cases before FINRA arbitration panels and federal courts. By providing strategic counsel and strong advocacy, we help clients protect their professional reputations and minimize the impact of potential sanctions.