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Our firm assists investors and securities firms by providing excellent legal representation in securities law matters.

Mr. Sweeney has served as Deputy Commissioner for the Indiana Securities Division and has served securities firms as Chief Compliance Officer and general counsel. Mr. Sweeney began his securities career as a practicing stockbroker, so he understands the securities industry from all sides and has experience he can use for private investors, registered representatives, investment advisor representatives, and securities firms.

We can provide representation to private investors and securities professionals in most areas of securities law.

The following is a substantial, but not exhaustive, listing of practice areas in which we can render expertise:
  • Sales practice abuses
  • Regulatory disciplinary actions
  • Unsuitable sales
  • Arbitration prosecution and defense
  • SEC, FINRA, or state audit preparation
  • SEC, FINRA, or state inquiry preparation and response
  • State, FINRA or SEC Licensing issues
  • FINRA, SEC or state regulatory action defense
  • WSP and Compliance Manual authoring
  • Compliance Consulting
  • Branch audits
  • Employee discipline

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Website Copyright 2006-2022 Law Office of Brian P. Sweeney
Indianapolis, Indiana          317.572.5755