Law Offices of Joseph M. Heppt

Aggressively representing clients for more than 20 years

Mr. Heppt has represented industry professionals and companies during investigations and enforcement proceedings conducted by the SEC, FINRA, state securities agencies and other regulatory authorities, as well as during internal corporate investigations (whether in conjunction with governmental inquiries, litigation, or on a stand-alone basis).

 

If it appears that a matter against one of your brokers or against the firm has some merit, we can either negotiate a reasonable settlement with the self-regulatory organizations or represent you in contested hearings.

260 Madison Avenue

New York, New York 10016

Phone: 212-973-0839

Fax: 212-973-0891

E-mail: jmheppt@hepptlaw.com

To contact us:

Regulatory Investigations