Getting a call from FINRA or SEC Enforcement telling you that your work as a securities broker is under investigation could be the worst day of your life. You have worked hard for years building your business. Now, with one wrongful allegation you can see it all swept away. But with expert counsel, it does not have to end that way. Stockbrokers and FINRA members need expert, experienced counsel when facing an investigation or disciplinary matter from FINRA or the SEC.

For more than 30 years, Gary Carleton was the one conducting those investigations at FINRA and SEC and now his firm, Carleton Law PLLC, brings all that experience to bear to defend brokers and FINRA firms who find themselves in that dreaded position. With all that experience advocating for your side, you will be much better prepared to take on the regulators.

Gary uses his extensive experience to quickly assess the seriousness of the matter and begin to develop a plan to address a resolution with FINRA or the SEC. He will lay out that strategy in straightforward, understandable terms. For a detailed description of Gary’s background and qualifications, visit his website .

Gary also runs a blog on FINRA enforcement investigations and disciplinary actions. You can find his blog on his website.
Contact Gary’s office at to set up an appointment. Please be sure to leave your contact information for a return call or message within 48 hours.