Ben A. Indek focuses his practice on representing broker-dealers and their employees in governmental, self-regulatory organization, and state securities commission investigations, and conducting internal investigations for such firms. Ben also counsels clients on regulatory and compliance issues, with a particular emphasis on assisting firms in self-reporting matters under FINRA Rule 4530(b); he acts as counsel to a broker-dealer self reporting committee. Ranked for the last nine years, Chambers USA noted that Ben has been described by securities industry insiders as “always prepared, measured and unflappable, even in difficult situations” and as having a “very strong” regulatory enforcement practice and “a style that goes down well with regulators.”
