Securities Regulation and Enforcement Defense
Jonathan counsels and represents financial advisors, broker-dealers and investment advisory firms in regulatory investigations, examinations, enforcement actions and disciplinary proceedings before the Securities and Exchange Commission, FINRA, and the Florida Office of Financial Regulation.
Representative matters and claims
- SEC investigations, subpoenas and Wells notices
- FINRA Rule 8210 requests and disciplinary hearings
- Florida Office of Financial Regulation examinations and actions
- Registration, licensing and Form U4/U5 disclosure issues
- Expungement of customer dispute disclosures
- Compliance counseling and internal investigations
Frequently asked questions
Common questions about securities regulation and enforcement defense in Florida and Georgia, answered by Jonathan B. Butler, Esq..
- What should an advisor do after receiving a FINRA Rule 8210 request?
- Respond promptly and completely with counsel. Failure to respond can itself result in a bar from the industry, and early counsel helps frame the record before an enforcement recommendation is made.
Have a question that isn't answered here? Contact Butler Law Group or call (561) 512-7261 for a confidential case review.
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Over 30 years of trial experience in business, financial and securities disputes.