Ben Indek

Practice Areas

Ben Indek, a partner and leader of the New York office’s litigation practice, focuses his practice on broker-dealers, and he has a long and successful track record of representing compliance officers and in-house lawyers in SEC and FINRA matters and conducting internal investigations. As a former compliance officer, he counsels clients on regulatory and compliance issues, with a particular emphasis on assisting firms in evaluating their self-reporting obligations under FINRA Rule 4530(b), and acts as counsel to several self-reporting committees. He has experience with respect to all aspects of Form U4, Form U5, and Form BD filing requirements and regularly provides firms with guidance on their regulatory filing obligations.

He is the driving force behind the firm’s co-sponsorship of the annual A.A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law at Fordham University School of Law, which over the last 20 years has featured SEC chairs, commissioners, and directors of the SEC Division of Enforcement. Ben speaks regularly at SIFMA Compliance & Legal Society seminars, including moderating a main-stage panel featuring the SEC’s director of Enforcement, FINRA’s head of Enforcement, and the president of the North American Securities Administrators Association (NASAA).

An author of many articles on broker-dealer regulation and enforcement issues, in 2006 he developed the firm’s annual publication “Select SEC and FINRA Broker-Dealer Cases and Developments”; he continues to be the lead author of the current version of that publication. He co-authored an amicus brief filed on with the SEC behalf of the National Society of Compliance Professionals with the SEC in connection with In the Matter of Theodore Urban.

From 1984 to 1987, Ben served as a compliance officer for E.F. Hutton & Co. where, among other duties, he managed the company’s surveillance program. During his tenure at Morgan Lewis, he has served on the FINRA Independent Dealer/Insurance Affiliate Committee, the National Association of Securities Dealers (NASD) Market Regulation Committee, the New York Stock Exchange (NYSE) Electronic Communications Task Force, and the National Society of Compliance Professionals (NSCP) board of directors.

He previously served eight years as co-managing partner of the New York office and was chair of the firm’s Audit Committee and a member of the Advisory Board. He was also the leader of the securities enforcement and litigation practice for several years.

He currently serves on the board of directors of Legal Services NYC, a nonprofit that helps low-income New Yorkers meet their basic needs for housing, access to high-quality education, healthcare, family stability, and income and economic security.

To learn more about Ben and his experience, please go to: https://www.morganlewis.com/bios/bindek.

Personal

University of Vermont, 1984, B.A.; New York Law School, 1992, J.D.

Industry Sector Expertise

Financial Services

Investment Funds

Banking