Your legal obligations as a registered representative or investment advisor are complicated. Regulators have recently ranked all registered representatives based on the perceived risk they pose to public customers. FINRA has launched a specialized unit to conduct examinations on brokers individually. These exams may include on-the-record interviews or other requests for information. Lawyers typically charging $5,000 and up to represent you in an on-the-record interview and other “hourly” work typically require a $5,000 retainer. A group regulatory defense plan can provide affordable, convenient counsel for your regulatory needs. If you are interested in enrolling in such a plan where you have a securities defense lawyer on your side, contact us for more information. When you use a participating attorney for covered services, fees are either fully covered by the membership charge or participants receive a reduced rate on regular rates. Payments are made through convenient monthly credit charges and may receive preferential tax treatment as a business expense. For a nominal fee you can receive value, convenience and peace of mind by giving you easy and low-cost access to attorneys that provide advice and consultations on regulatory matters. For additional information contact us using the form below.