CLEVELAND, OH—To continue providing focused representation to our financial services clients, Reminger is pleased to announce the creation of its Broker-Dealer and Investment Advisor Regulatory Compliance and Enforcement Practice Group. Chaired by Joseph Simms and capitalizing on the experience of its senior group members Andrew Dorman, Brian Nally and Sean Needham, the group will provide proactive, efficient and cost-effective consulting services, counseling and representation to broker-dealers and investment advisors and their registered and licensed personnel.
Our lawyers have decades of experience representing financial services clients throughout the country. We regularly defend our clients in inquiries, investigations and enforcement actions brought by FINRA, the SEC, the Ohio Division of Securities, and numerous other state securities regulators, and we frequently assist in responding to routine, cycle and for-cause exams. We position our clients to minimize their risk of negative consequences or further proceedings arising from examinations, inquiries and investigations, and to maximize the likelihood of favorable outcomes in enforcement proceedings that do arise. In addition, a large part of our practice involves proactive consulting to enable our clients to achieve and maintain compliance with regulatory and legal requirements, and to assist our clients in preparing for regulatory change and enforcement initiatives announced and pursued by federal and state regulatory bodies and self-regulatory organizations.