FacultyFaculty/Author Profile

Ben A Indek

Morgan Lewis & Bockius LLP

New York, NY, USA

Ben A. Indek is a partner at Morgan, Lewis & Bockius LLP in New York. Mr. Indek’s practice focuses on representing brokerdealers and their employees in governmental, self-regulatory organization and state securities commission investigations and disciplinary proceedings, counseling broker-dealers on regulatory and compliance issues (including the development and implementation of written compliance and supervisory procedures) and conducting internal investigations. He also acts as independent consultant to investment banks in connection with regulatory settlements. Mr. Indek is the author of numerous articles concerning broker-dealer regulation and enforcement issues and frequently lectures on these topics. Mr. Indek is a co-author of “Securities Litigation and Enforcement,” a regular column appearing in the New York Law Journal.

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