Government Enforcement Defense

Securities Enforcement Defense

Cosgrove Law Group, LLC regularly represents clients in regulatory investigations, disciplinary hearings and enforcement proceedings before federal and state securities regulators. David B. Cosgrove has a national reputation in the securities industry, having represented numerous securities clients and previously served as the Missouri Commissioner of Securities. While serving as the Commissioner of Securities, Mr. Cosgrove interfaced on a daily basis with the SEC, NASD (now FINRA), NASAA (North American Securities Administrators Association) and various other state and federal enforcement agencies. Mr. Cosgrove’s experience in the securities industry has given him first-hand knowledge of the securities regulation and enforcement process. The attorneys of Cosgrove Law Group, LLC have also represented corporations, officers and directors in high-profile securities investigations.

IA State Registration Matters

Cosgrove Law Group, LLC has experience with a whole host of IA state registration matters including:

  • Conversions from SEC registration to state registration
  • MC400 applications and hearings
  • Guidance to assist in the preparation for state audits
  • Annual and as-needed ADV updates and reviews
  • General state registration information requests
  • State registration inquiries for Investment Advisers and Investment Adviser Representatives

Mr. Cosgrove and his Paralegal, Sheila Carroll, are former members of the North American Securities Administrators Association (NASAA) and current members of SIFMA, Compliance & Legal. With a background in state regulation and a continued presence in the compliance and regulatory community, Mr. Cosgrove and his staff are able to provide a unique perspective when providing clients with registration guidance and advice.