Sandra M. Formica
Associate
Sandra Formica represents investment advisers, broker-dealers, and other financial services firms in complex regulatory, enforcement, and compliance matters. She helps clients navigate investigations and enforcement actions involving the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and state securities regulators. Sandra regularly advises firms and individuals on securities law, regulatory, and compliance issues affecting investment advisers and broker-dealers. Her practice also includes matters involving the Foreign Corrupt Practices Act (FCPA), False Claims Act, federal ethics laws, congressional and executive branch rules, and lobbying compliance.
