Regulatory Defense

Cosgrove Law Group, LLC’s regulatory defense practice has many years of experience and success.  We work strategically and effectively with our clients to respond to regulatory inquiries and actions.

We strongly advocate on behalf of our clients and have successfully represented many companies and individuals against state and federal regulators and self regulatory organizations, such as FINRA. We assist our clients through regulatory inquiries and actions with experience and sound guidance.

Our team’s experience includes defending against civil enforcement actions, criminal prosecutions, securities related litigation, negotiating complex settlements, and facilitating cooperation with regulators. The team also routinely provides instruction to clients regarding preventive measures and compliance programs.

The diverse background of our attorneys and staff, including former regulators, combines an in-depth understanding of the enforcement landscape with an appreciation for client’s business and personal needs. We focus on obtaining the best possible outcome for our clients.