Carleton Law PLLC

Securities Regulation Expertise | FINRA | SEC | Arbitration – A specialized law firm dedicated to defending against securities enforcement actions and conducting corporate internal inquiries. Discover more at www.carletonlaw.net or connect with Gary Carleton on LinkedIn. At Carleton Law, we pride ourselves on our commitment to securities defense during investigations and formal proceedings by: crafting impactful case strategies, meticulously reviewing files for key evidence, pinpointing potential exhibits, thoroughly researching witnesses, training them to present compelling testimony, identifying opportunities for cross-examination of adversarial witnesses, designing persuasive demonstrative materials for trials, executing mock examinations while providing immediate feedback throughout the trial process and advising clients on sanctions as well as settlement concerns. Leading this initiative is Gary A. Carleton—Principal and an accomplished litigator boasting over 35 years of expertise in complex litigation. Previously serving as a Senior Trial Assistant District Attorney in Brooklyn County NY where he handled felony jury cases advanced his courtroom acumen significantly. Additionally bringing invaluable experience from his tenure at the U.S Securities and Exchange Commission’s Division of Enforcement; here he oversaw intricate investigations tied to high-profile insider trading cases involving notable figures such as Dennis Levine and Michael Milken along with Drexel Burnham Lambert's scrutiny—his leadership was instrumental in gathering crucial evidence through extensive document reviews. Gary has also played key roles within FINRA's Department of Enforcement alongside acting as a Hearing Officer where he probed into serious matters like Nasdaq market manipulations among others including sales practice misconducts evident through documentation anomalies related net capital shortcomings or disclosure irregularities leading up ultimately culminating in major cases such Stratton Oakmont which resulted notably creating a precedent guiding industry protocols going forward—a testament highlighting not only his influence but dedication towards ensuring compliance across financial markets having chaired many findings hearings alongside overseeing various disciplinary sessions throughout properly managed processes concerned therein.