Investigations and Regulatory Matters

Immigration | Bailey Duquette

Bailey Duquette actively represents both individuals and entities in regulatory investigations and enforcement proceedings; internal investigations; and other regulatory matters.

The firm’s experience includes representing clients in inquiries and enforcement actions commenced by the Financial Industry Regulatory Authority (FINRA); the New York Stock Exchange (NYSE); the Securities and Exchange Commission (SEC) and the New York State Office of Professional Discipline concerning possible violations of statutes, regulations, rules and industry standards of conduct. Our lawyers also have special experience in handling matters involving the Foreign Corrupt Practices Act (FCPA) and other international anti-corruption laws.

In connection with the financial services industry specifically, the firm’s attorneys regularly provide counsel concerning licensing and registration issues (for example, the language that will be published on a Form U4 or Form U5); compliance and reporting obligations (for example, what needs to be done to properly disclose an outside business interest); industry standards of conduct (for example, how to comply with the Protocol for Broker Recruiting); and related legal issues (for example, how to market without unfairly competing).

Bailey Duquette also frequently represents clients who are conducting, or involved in, internal investigations, including those related to regulatory, whistleblower, discrimination and harassment matters.