The Enforcement Divisions of the SEC and FINRA are conducting examinations often called sweeps in an attempt to uncover industry-wide violations and bring actions against several firms at once for the same violation.

FrontLine Compliance Litigation Support

Are you prepared for a lengthy regulatory inquiry?

"Regulation by examination" is an industry phrase heard lately.

The Enforcement Divisions of the SEC and FINRA are conducting examinations often called "sweeps" in an attempt to uncover industry-wide violations and bring actions against several firms at once for the same violation. These actions can lead to "joint settlements," a popular term among the regulators.

Enforcement matters take up a great deal of time and money, many can take at least a year to reach "Wells" status. In the meantime, the firm under investigation may spend thousands of dollars on legal fees and countless hours on document preparation and review.

FrontLine Compliance’s qualified staff is available to assist you during these trying matters. We are fully capable of coordinating with your legal counsel to:

Collect, prepare, and review documents
Conduct email reviews and analysis
Prepare and strategize for "on the record" interviews
Provide Expert Witness testimony