Robert P. Howard Jr.

Bob represents financial services firms, public companies, and individuals in regulatory examinations, investigations, and litigation initiated by the Securities and Exchange Commission, FINRA, and other federal and state securities regulators. He also represents clients in civil litigation and arbitration involving the securities laws. Bob counsels broker-dealers and investment advisors regarding compliance system design and review, regulatory registration, transactional disclosure, and customer privacy. He also advises a range of firms in the financial sector on compliance and regulatory risk management. Practice Highlights Enforcement defense For over two decades, Bob has represented clients in investigations and actions by state and federal securities regulators. Regulatory matters Bob has extensive experience representing broker-dealers and investment advisors concerning compliance with state and federal regulations and responding to regulatory examination requests. Compliance Bob works closely with compliance officers and their staff to design and implement supervisory systems compliant with state and federal regulations.