Ben A. Indek
Ben A. Indek is a partner at Morgan, Lewis & Bockius LLP. Mr. 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 financial services firms. He also counsels broker-dealers on regulatory and compliance issues, including the development and implementation of written compliance and supervisory procedures and new rules and regulations. Mr. Indek also has significant experience assisting firms in self-reporting matters under FINRA Rule 4530(b) and currently acts as counsel to a broker-dealer’s self-reporting committee. He has also represented a number of compliance officers in SEC and FINRA investigations. Mr. Indek previously served on FINRA’s Independent Dealer/Insurance Affiliate Committee, NYSE’s Electronic Communications Task Force, the NASD’s Market Regulation Committee, and on the Board of Directors of the NSCP.