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Our firm assists investors and securities firms by providing excellent legal representation in securities law matters.
Mr. Sweeney is a former Deputy Commissioner for the Indiana Securities Division and a former in-house counsel for two securities firms. Mr. Sweeney also worked for several years as a practicing stockbroker. He understands the securities industry from all sides and has experience he can use for both private investors and securities firms.

We can provide representation to both private investors and securities professionals in most common 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
  • Unsuitable sales
  • Arbitration prosecution and defense
  • SEC, NASD, or state audit preparation
  • SEC, NASD, 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 © 2006-2010 Law Office of Brian P. Sweeney
Indianapolis, Indiana          317.572.5755