Regulatory Representation & Enforcement
We advise and represent financial institutions; investment firms; broker-dealers; investment advisers; and registered representatives in connection with examinations by regulators and proceedings initiated by the SEC, FINRA, CFP Board of Standards, self-regulatory organizations, and state securities and insurance regulators.
We advise and represent parties in internal investigations and reviews covering a variety of operational issues as well as potential liability avoidance through the detection and prevention of rule violations, record-keeping, and best practices for regulatory compliance. We take a proactive approach based on our belief that a primary goal of effective representation is to help clients avoid problems before they happen.
The regulators of the securities industry recognize Jenks & Harvey due to the firm’s experience and expertise in the financial industry arena.