Ben A. Indek is a partner in Morgan Lewis's Litigation Practice and the chair of the Securities Litigation and Enforcement Practice. Mr. Indek focuses his practice on representing broker-dealers and their employees in governmental, self-regulatory organization, and state securities commission investigations and disciplinary proceedings as well as 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 experience assisting firms in self-reporting matters under FINRA Rule 4530(b) and the prior NYSE rule, and he currently acts as counsel to a broker-dealer's self-reporting committee. He has also represented a number of compliance officers in SEC, FINRA, NYSE Regulation, and National Association of Securities Dealers (NASD) investigations; Mr. Indek was the co-author of an amicus brief filed on behalf of the National Society of Compliance Professionals (NSCP) with the SEC in connection with In re Theodore W. Urban. On several occasions, he has acted as independent consultant to firms in connection with regulatory settlements.