Facing a FINRA, SEC inquiry, or license risk?
Act fast, early counsel can protect your license and record.
Hertz Schram defends financial professionals in FINRA/SEC/state matters (investigations, discipline, licensing/U4–U5, expungement) and represents investors in claims for unsuitable advice, misrepresentation, unauthorized trading, selling away, and failure to supervise.
Daniel W. Rucker
Partner
Meet Our Michigan Securities Regulation Team!
Work With Our Attorney
100+
regulatory & FINRA matters handled
40+
years practicing securities regulation & compliance
98%
client satisfaction for dedicated, effective service
Testimonials
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Transformative Results
with Hertz Schram
1,000+
Regulatory & FINRA Matters Managed
Thousands of
Happy Clients
Securities Regulation & Disciplinary Defense (FINRA • SEC • State)
1000+ Matters Handled
FINRA Investigations & Discipline
Defense in Rule 8210 requests, OTR interviews, and enforcement proceedings.
Experienced Advocates
SEC & State Enforcement
Representation in administrative actions, subpoenas, and parallel investigations.
Practical Counsel
Licensing, Registration & U4/U5
Protecting licenses; managing Form U4/U5 events, terminations, and disclosures.
Targeted Recovery
Investor Claims & Dispute Resolution
Pursuing recovery for unsuitable recommendations, misrepresentation, unauthorized trading, selling away, and failure to supervise.
Services Covered
- FINRA investigations & enforcement
- SEC investigations & enforcement
- State securities regulators
- Rule 8210 requests
- OTR interviews
- Licensing & registration
- Form U4/U5 disclosures
- Market misconduct
- Expungement (Rule 2080)
- Supervision & compliance
- Disclosure remediation
- Internal investigations
- Arbitration/mediation (as required)
- Unsuitable recommendations
- Unauthorized trading, churning, selling away
- Broker-dealer supervision & compliance
- Adviser compliance & exams
- Investor claims (unsuitable, misrepresentation/omission)
Why Hire Hertz Schram for Securities Regulation & Disciplinary Defense?
Proven Success
Over 1,000 regulatory & FINRA matters handled
Deep FINRA/SEC Experience
Decades representing brokers, advisers, and firms in investigations, discipline, and licensing
Strategic Regulatory Defense
Tailored strategies to reduce exposure, protect licenses, and manage disclosures
High Satisfaction
98% client satisfaction rate
About Us
The Hertz Schram Paradigm
Hertz Schram is a firm of core values, yet constant reinvention. Over a 45 year history as a full-service law firm, we have adhered to the fundamentals of client service and expertise. Our veteran attorneys are highly respected in courtrooms and boardrooms throughout our community and across the country.
Our next generation lawyers bring an energized dynamic, adding new practice areas and ideas and exploiting the constantly evolving technology needed for the 21st century practice of law. Innovation, growth, and flexibility define our firm culture, always inviting the question – what’s next?
Some things at Hertz Schram, however, remain constant. Our dedication to our clients will never change.
Working with clients across the US
Awards and Accolades
Discover the Hertz Schram Difference
Our Attorneys
- 40+ years navigating securities regulation and compliance
- 1,000+ regulatory & FINRA matters handled
- Focus on FINRA/SEC/state investigations, discipline, and licensing
- U4/U5 disclosures and Rule 2080 expungement experience
- Early, proactive strategies to reduce exposure and protect licenses
- Tailored guidance aligned with supervisory and compliance requirements
Other Attorneys
- General securities experience, less emphasis on regulatory defense
- Limited exposure to FINRA/SEC processes and timelines
- Reactive after notices are issued, fewer preventative measures
- Typically lower satisfaOne-size-fits-all compliance advice, less alignment with firm supervisionction rates
- May prioritize litigation over regulatory resolution pathways
Contact Information
Frequently Asked Questions (FAQs)
FINRA, SEC, and state matters including Rule 8210 requests, OTR interviews, disciplinary actions, licensing/registration disputes, Form U4/U5 disclosures, Rule 2080 expungement, supervision/compliance reviews, and internal investigations.
Timelines vary by complexity and stage. Early counsel often shortens the process by clarifying issues, coordinating compliant productions, and addressing supervisory or remedial steps up front.
Contact counsel immediately. Responses are time-sensitive and on the record. We help prepare documents and testimony, protect privileges, and position you for the best regulatory outcome.
Often yes. Many regulatory issues resolve through negotiated outcomes, cautionary actions, remedial undertakings, or supervisory enhancements, sometimes avoiding formal charges or minimizing sanctions.
Yes. While our practice emphasizes regulatory and disciplinary defense for financial professionals, we also represent investors seeking recovery for unsuitable recommendations, misrepresentation/omissions, unauthorized trading, churning, selling away, and failure-to-supervise—often through arbitration or mediation.