Securities Regulation Defense in FINRA and SEC Investigations and Disciplinary Proceedings

Using 30 years of insights and experience at FINRA and SEC to passionately defend clients

Stockbrokers and FINRA members need expert, experienced counsel when facing an investigation or disciplinary matter from FINRA or the SEC. 

Carleton Law knows what you need to defend your livelihood or your firm.  After more than 30 years at the SEC and FINRA conducting those investigations and prosecuting those cases, Gary Carleton, Principal at Carleton Law PLLC now applies his savvy experience to advocate for his brokerage firm clients.

Carleton Law unravels the investigative and disciplinary processes, protecting clients’ rights and defending against accusations of wrongdoing.   Carleton Law will be there every step of the way to:

  • Provide clear guidance on every step of the investigative and disciplinary process;
  • Develop effective and persuasive defense strategies;
  • Review documentation to identify influential evidence;
  • Research regulator and defense witnesses;
  • Prepare witnesses to be persuasive and credible;
  • Identify areas of cross-examination for opposing witnesses; and
  • Consult on sanctions and settlements strategies

 

Mediating Disputes
Mediation provides those facing disciplinary action the ability to resolve the matter in a less formal and potentially less costly manner than through a formal disciplinary hearing.  Gary Carleton has extensive experience as both a former FINRA Hearing Officer and FINRA Enforcement Senior Counsel in resolving matters through mediation.  

 

 

 

See Gary Carleton’s experience on the About Us page.

Attorney Advertising – Gary Carleton, Principal of Carleton Law,  is admitted to practice law in the State of New York and the District of Columbia.  This website may be considered attorney advertising.