The Law Offices of James P. Lucking represents financial advisors, stockbrokers, managers, and other financial professionals in regulatory investigations and disciplinary actions by FINRA, the SEC, state securities regulators, and state attorneys general. The firm handles all aspects of regulatory defense, from answering FINRA inquiry letters, producing documents and information, preparing advisors to testify before regulators, drafting Wells Submissions, defending disciplinary hearings and negotiating settlements such as FINRA Letters of Acceptance, Waiver and Consent. If you are the subject of a regulatory inquiry, contact us for a free consultation.