Ben A. Indek

Partner

Ben A. Indek focuses his practice on representing broker-dealers and their executives in Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) investigations and conducting internal investigations. Ben counsels clients on regulatory and compliance issues, with a particular emphasis on assisting firms in evaluating their self-reporting obligations under FINRA Rule 4530(b); he acts as counsel to several self-reporting committees. As a former compliance officer, Ben has a deep understanding of the role of such professionals at broker-dealers and he has a long and successful track record of representing compliance officers and in-house lawyers in FINRA matters.

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