Ben A. Indek

Partner

Ben A. 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 such firms. Ben also counsels clients on regulatory and compliance issues, with a particular emphasis on assisting firms in self-reporting matters under FINRA Rule 4530(b); he acts as counsel to a broker-dealer self reporting committee. Ranked since 2008, Chambers USA noted that Ben has been described by securities industry insiders as a “knowledgeable and personable attorney” who is “always prepared, measured and unflappable, even in difficult situations” and as having a “very strong” regulatory enforcement practice with “a style that goes down well with regulators.”

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