Regulatory Representation

The attorneys at Ballard & Littlefield, LLP have extensive experience in representing clients in regulatory proceedings, governmental investigations and disciplinary actions before the SEC, FINRA, the Texas Attorney General and numerous states’ securities regulatory bodies.  Legal representation is essential in such situations. Our lawyers have handled a broad range of regulatory matters, from branch office supervision issues to firm-level compliance questions.  Notably, Senior Counsel Michael Rodriguez is the former head of an SEC branch office. The attorneys at Ballard & Littlefield, LLP will bring careful analysis and seasoned judgment to these often complex matters. 

Companies and their employees face increasing regulatory scrutiny of their activities.  Responding to inquiries and investigations are often time consuming and distracting.  Ballard & Littlefield, LLP can provide representation in these proceedings and investigations, allowing companies to maintain focus on successfully operating and growing their businesses.

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