Ben A. Indek

Partner

Ben A. Indek is a partner in Morgan Lewis's Litigation Practice. Mr. Indek's practice focuses on representing broker-dealers and their employees in governmental, self-regulatory organization and state securities commission investigations and disciplinary proceedings, counseling broker-dealers on regulatory and compliance issues (including the development and implementation of written compliance and supervisory procedures) and conducting internal investigations. He also acts as independent consultant to investment banks in connection with regulatory settlements.

Between 1984 and 1988, Mr. Indek was a compliance officer at E.F. Hutton & Co. In his last position at the company, he managed the Compliance Department's surveillance group. He joined Morgan Lewis in 1988 as a legal assistant specializing in the securities field. While a full-time legal assistant at the firm, Mr. Indek attended New York Law School, where he was member of the Law Review and from which he graduated magna cum laude in 1992.

Mr. Indek is the author of numerous articles concerning broker-dealer regulation and enforcement issues and frequently lectures on these topics. From 2000 to 2005, Mr. Indek was a co-author of "Securities Litigation and Enforcement," a regular column appearing in the New York Law Journal. Mr. Indek is a contributing author to "Broker-Dealer Regulation" published in 2004 by the Practising Law Institute.

Mr. Indek currently serves on FINRA's Independent Dealer/Insurance Affiliate Committee and the Board of Directors of the National Society of Compliance Professionals. He previously served on the NYSE's Electronic Communications Task Force and the NASD's Market Regulation Committee. He is a member of the firm's Finance Committee.

Mr. Indek is admitted to practice in New York.