Regulatory Proceedings

Beverly Regulatory Proceedings Attorneys

Experienced Legal Guidance for Clients in Boston

Gelb & Gelb LLP represents individuals and businesses before state and federal regulatory agencies and licensing authorities. We appreciate that our clients’ top priority is protecting their livelihoods, especially when they have spent years establishing their reputations. Our clients include registered representatives, investment adviser representatives, financial planners, accountants, insurance agents, real estate agents, business persons, and physicians.

Why Choose Gelb & Gelb LLP?

Our Beverly regulatory proceedings lawyers are well-versed in guiding client through numerous types of proceedings. We are recognized for our knowledge of legal issues, command of facts, and vigorous advocacy. We work to protect clients who are are under attack, and present effectively their perspectives of the events at issue and legal defenses.

If you need assistance with a regulatory proceeding, do not hesitate to contact Gelb & Gelb LLP online or call (877) 867-0034 to discuss how our firm can help.

Do I Need An Attorney For Regulatory Proceedings?

Whether or not you need an attorney for regulatory proceedings in Massachusetts depends on several factors. While it is not a legal requirement to have an attorney, there are circumstances where it may be highly beneficial to seek legal representation.

Here are some considerations:

  • Complexity of the proceeding: Regulatory proceedings can be complex, involving technical legal issues, extensive documentation, and specific procedures. If you are unfamiliar with the regulatory framework or lack experience in navigating such proceedings, an attorney can provide valuable guidance and expertise.
  • Legal knowledge and understanding: Attorneys are professionals who have a deep understanding of the law and legal processes. We can help you interpret and apply relevant statutes, regulations, and case law to support your position effectively. We can also identify potential legal pitfalls, analyze the strength of your case, and develop sound legal strategies.
  • Advocacy and negotiation: Attorneys are skilled advocates who can present your case persuasively and negotiate on your behalf. They can draft and submit legal documents, prepare you for hearings or testimony, cross-examine witnesses, and argue your position effectively. Their expertise in negotiation can be valuable during settlement discussions or when seeking favorable outcomes.
  • Procedural compliance: Regulatory proceedings often have strict deadlines, specific filing requirements, and procedural rules that must be followed. An attorney can ensure that you meet all necessary deadlines, submit appropriate documentation, and comply with procedural requirements, minimizing the risk of procedural errors that could negatively impact your case.
  • Legal representation of opposing parties: If other parties involved in the regulatory proceeding have legal representation, it can put you at a disadvantage if you do not have an attorney of your own. Having an attorney can help level the playing field and ensure your interests are protected.

The decision to hire an attorney will ultimately depend on your resources, the complexity of the matter, and the potential impact of the regulatory proceeding on your interests. It is beneficial to consult with an attorney who specializes in regulatory law to assess your specific situation and determine the best course of action. For experienced guidance in your regulatory proceeding, reach out to Gelb & Gelb LLP at (877) 867-0034.

Decades of Regulatory Experience

The following are examples of regulatory agencies before which our Beverly regulatory proceedings attorneys represent clients:

  • United States Securities and Exchange Commission. If you are the subject of a securities fraud investigation, we can give you the guidance and representation that you need. Our team regularly supports broker-dealers and other financial agents.
  • United States Department of Justice. The DOJ will sometimes participate in investigations of serious federal crimes, including many white-collar crimes like embezzlement or fraud. Our team can represent and defend you if you are being investigated in a federal investigation and/or criminal proceeding.
  • United States Department of Labor. If your business has been accused of unlawful employment practices or violating employee rights, our team can defend you. We have handled cases involving ERISA, pension, and other employee benefits violations.
  • United States Department of Agriculture. The USDA is responsible for investigating allegations of fraudulent activity, excessive waste, and abuse of department programs. We can defend you if you or your business are the subjects of a USDA audit or inquiry.
  • Financial Industry Regulatory Authority (FINRA). FINRA can enforce fines, sanctions, restitution, and even bans from the brokerage industry when a firm or individual is found guilty of securities fraud. Our team can defend you before FINRA and work to protect your rights.
  • Massachusetts Secretary of State's Office. This office oversees several other state regulatory bodies, including the Corporations Division and Securities Division. Our team can work with individuals and businesses to manage any inquiries or investigations from this office or the other offices it supervises.
  • Massachusetts Securities Division. This regulatory agency is responsible for enforcing the Massachusetts Securities Act and works to protect investors operating in Massachusetts. We can represent you if you have been accused of unauthorized trading, unregistered fraudulent activity, unsuitable recommendations, churning, or any other type of securities misconduct.
  • Massachusetts Board of Accountancy. This authority licenses and governs the practice and conduct of accountants. If you have been accused of accounting fraud, our legal team can work to protect your professional reputation and future.
  • Massachusetts Division of Insurance. This agency licenses and regulates the state’s insurance agents and firms. We represent individual agents and firms before the Division of Insurance.
  • Massachusetts Board of Registration in Medicine. This authority issues medical licenses and investigates allegations of misconduct. We represent Massachusetts physicians and acupuncturists in BORIM investigations.
  • Massachusetts Division of Professional Licensure. This state body regulates over half a million professionals, businesses, and schools in over 150 fields. Our legal team can represent individuals and businesses in all communications with the body involving licenses or consumer complaints.
  • Massachusetts Alcoholic Beverages Control Commission. The ABCC controls commercial liquor licenses throughout the state. We work with businesses to help secure licenses, overcome regulatory obstacles, and resolve conflicts.
  • Massachusetts Registry of Motor Vehicles. Individuals convicted of an OUI offense will typically face a driver’s license revocation and potentially other penalties levied by the RMV. We can represent those working to restore driving privileges and resolve other related issues.
  • Massachusetts Academic Institutions. Students and faculty members accused of misconduct are often subject to internal administrative investigations conducted by the academic institution. We can represent you in these cases and work to protect your student status and/or academic career.

Gelb & Gelb LLP is prepared to represent you before any state or federal regulatory agency. Call (877) 867-0034 or contact us online to discuss your case with us.

Trusted & Honored

  • America's Top 100
  • National Trial Lawyers Top 100
  • Super Lawyers
  • National Association of Criminal Defense Lawyers
  • Mata Member Masschusetts Academy of Trial Attorneys
  • Massachusetts Bar Foundation
  • Massachusetts Bar Assocation
  • Fellow LItigation Counsel of America
  • AV Rated Preeminent
  • America's Top 100 2019
  • Best Lawyers 2023
  • American Bar Association
  • American Bar Foundation Proud Fellow

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