Ben A. Indek


Ben A. Indek focuses his practice on representing broker-dealers and their executives in US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) investigations and conducting internal investigations. Ben also 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), and acts as counsel to several self-reporting committees. Ben has experience with respect to all aspects of Form U4, Form U5, and Form BD filing requirements and regularly provides firms with guidance on their regulatory filing obligations.