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Gary Carleton is listed as Principal, Carleton Law | Exclusive Securities Regulation Defense | Former FINRA Enforcement Senior Counsel / Hearing Officer | Former SEC Enforcement Attorney | Litigation | Investigations | Arbitration | Expert Witness at Carleton Law PLLC, based in Washington, District Of Columbia, United States. AeroLeads shows a matched LinkedIn profile for Gary Carleton.
Gary Carleton previously worked as Principal Attorney at Carleton Law Pllc and Managing Director at Washington Litigation And Mediation Group Llc. Gary Carleton holds Ab, Political Science from Indiana University Bloomington.
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Getting a call from FINRA or SEC Enforcement telling you that your work as a securities broker is under investigation could be the worst day of your life. You have worked hard for years building your business. Now, with one wrongful allegation you can see it all swept away. But with expert counsel, it does not have to end that way. Stockbrokers and FINRA members need expert, experienced counsel when facing an investigation or disciplinary matter from FINRA or the SEC.For more than 30 years, Gary Carleton was the one conducting those investigations at FINRA and SEC and now his firm, Carleton Law PLLC, brings all that experience to bear to defend brokers and FINRA firms who find themselves in that dreaded position. With all that experience advocating for your side, you will be much better prepared to take on the regulators. Gary uses his extensive experience to quickly assess the seriousness of the matter and begin to develop a plan to address a resolution with FINRA or the SEC. He will lay out that strategy in straightforward, understandable terms. For a detailed description of Gary’s background and qualifications, see below and visit his website at www.carletonlaw.net.Gary also runs a blog on FINRA enforcement investigations and disciplinary actions. You can find his blog at www.carletonlaw.net and go to the Blog page. Contact Gary’s office at gary@carletonlaw.net to set up an appointment. Please be sure to leave your contact information for a return call or message within 48 hours.
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Washington, District OF Columbia (DC), US
Carleton Law focuses its practice on securities arbitrations and defending securities brokerage firms, registered brokers and individuals in examinations, investigations, and formal disciplinary proceedings before securities regulators, including FINRA and the U.S. Securities and Exchange Commission. Carleton Law also focuses on corporate or governmental.
Founder and Managing Director of Washington Litigation and Mediation Group, LLC. which provides expertise in litigation support services to attorneys preparing for trial. Gary applied his extensive experience to develop case strategies and extract important facts from investigative or discovery files. WLMG provides litigation support to attorneys and does.
Washington, District Of Columbia, US
Served as lead counsel in complex investigations and subsequent disciplinary trials involving securities law violations. Cases included market manipulation, anti-money laundering (AML), research analysts, variable annuities, auction rate securities, penny stocks, unregistered securities, firm supervision, email retention systems, suitability, and.
Presided over disciplinary hearings brought by NASD's Department of Enforcement and Market Surveillance Department. Responsible for case management, ruled on all evidenciary matters, presided at hearing, and prepared written decisions.
Investigated and prosecuted matters of significant regulatory concern in the securities industry including stock manipulation, fraud, excessive markups of stock, research analysts, and other forms of broker abuse of customers. Cases include Stratton Oakmont, FN Wolf, and others. Managed legal support staff including hiring, evaluations, employee assistance.
Washington, DC, US
Investigated securities laws violations including insider trading. Served as first-chair in investigative interviews and depositions. Conducted exhaustive document reviews in piecing together complex trading schemes. Testified in a federal court trial regarding my investigative work at SEC. Cases brought include Alfred Elliott, Dennis Levine and Michael.
US
First-chair prosecutor in felony and misdemeanor jury trials. Conducted investigations, interviewed witnesses, victims, and police officers, and took videotaped statements of potential defendants. Testified at trial regarding statements taken of defendants.
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Gary Carleton works for Carleton Law PLLC.
Gary Carleton is listed as Principal, Carleton Law | Exclusive Securities Regulation Defense | Former FINRA Enforcement Senior Counsel / Hearing Officer | Former SEC Enforcement Attorney | Litigation | Investigations | Arbitration | Expert Witness at Carleton Law PLLC.
Gary Carleton is based in Washington, District Of Columbia, United States while working with Carleton Law PLLC.
Gary Carleton has worked for Carleton Law Pllc, Washington Litigation And Mediation Group Llc, Financial Industry Regulatory Authority (Finra), National Association Of Securities Dealers (Nasd) (Now Finra), and Us Securities And Exchange Commission.
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Gary Carleton holds Ab, Political Science from Indiana University Bloomington.
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