FINRA Investigations

Mr. Koch represents financial professionals in regulatory investigations, SEC, FINRA, CFTC, NFA, state securities commissions, and the various commodity exchanges. With decades of experience in investigations and enforcement proceedings he understands the issues, the procedures, and the politics behind the procedures, and has been able to provide early and invaluable assistance to our clients, not only during the proceedings themselves, but in the development of a comprehensive strategy and plan for dealing with actual, and potential, enforcement proceedings.