Carleton Law Pllc

Securities Regulation Defense | FINRA | SEC | Arbitration | Boutique law firm focused on securities enforcement defense and corporate internal investigations. Visit and Gary Carleton's Linkedin page. Carleton Law focuses on securities enforcement defense in investigations and formal actions to: Develop effective and persuasive case strategies, Review case files to identify most influential evidence, Identify potential exhibits, Research all witnesses, Prepare witnesses to be persuasive and credible, Identify areas of cross-examination for opposing witnesses, Create effective, persuasive demonstrative aids for trial, Conduct mock examinations, Provide real-time feedback during trial, and Consult on sanctions and settlements strategies Leadership Gary A. Carleton, Principal, is a highly skilled and successful litigator with more than 35 years experience litigating complex cases. Gary was a Senior Trial Assistant District Attorney in Brooklyn, NY where he tried felony jury trials. Gary served as a Senior Counsel with the U.S. Securities and Exchange Commission’s Division of Enforcement where he conducted complex investigations including the insider-trading cases of Dennis Levine, Michael Milken, and Drexel Burnham Lambert. Gary led an investigative team that conducted formal interviews and reviewed tens of thousands of documents in finding support for the filing of charges. Gary also served with the Financial Industry Regulatory Authority (FINRA) in both its Department of Enforcement, and as a Hearing Officer. Gary investigated and prosecuted complex litigation, including: manipulation of the Nasdaq market, trading abuses, sales practice abuses, fabrication and falsification of documents, net capital violations, reporting and disclosure violations. Gary's cases include Stratton Oakmont, which led to the firm’s expulsion from the securities industry. Gary also presided over many FINRA disciplinary proceedings as a Hearing Officer.