Ben A. Indek

Co-Managing Partner at Morgan, Lewis & Bockius LLP

Ben A. Indek

Ben A. Indek

Co-Managing Partner at Morgan, Lewis & Bockius LLP

Biography

Ben A. Indek is a partner in Morgan Lewis's Litigation Practice. Mr. Indek focuses his practice on representing broker-dealers and their employees in governmental, self-regulatory organization, and state securities commission investigations and disciplinary proceedings as well as conducting internal investigations for financial services firms. He also counsels broker-dealers on regulatory and compliance issues, including the development and implementation of written compliance and supervisory procedures and new rules and regulations.

Recent representations of broker-dealers and their employees in Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) investigations include matters in the following areas:

* Municipal bond disclosures to investors and underwriting expenses
* Structured and complex products sold to retail clients, including sales practices and supervision relating to leveraged and inverse Exchange Traded Funds (ETFs)
* Regulation SHO
* Auction rate securities
* Mutual fund and unit investment trusts suitability, supervision, pricing, and record keeping
* Operational issues, including prospectus delivery, proxy voting, and electronic blue sheets
* Research report disclosures
* Registration and customer complaint reporting issues, including Form U4/U5 filings
* Trade practices and reporting, including Market on Close and Limit on Close orders and New York Stock Exchange (NYSE) Rules 90, 92, and 132.30

Mr. Indek also has experience assisting firms in self-reporting matters under FINRA Rule 4530(b) and the prior NYSE rule, and he currently acts as counsel to a broker-dealer's self-reporting committee. He has also represented a number of compliance officers in SEC, FINRA, NYSE Regulation, and National Association of Securities Dealers (NASD) investigations; Mr. Indek was the co-author of an amicus brief filed on behalf of the National Society of Compliance Professionals (NSCP) with the SEC in connection with In re Theodore W. Urban. On several occasions, he has acted as independent consultant to firms in connection with regulatory settlements.

Mr. Indek previously served on FINRA's Independent Dealer/Insurance Affiliate Committee, the NYSE's Electronic Communications Task Force, the NASD's Market Regulation Committee, and on the Board of Directors of the NSCP.

Mr. Indek is the author of numerous articles concerning broker-dealer regulation and enforcement issues and frequently lectures on these topics. Since 2006, he has been the principal author of the firm's annual year-in-review publication "Select SEC and FINRA Broker-Dealer Cases and Developments," which describes the key developments in the enforcement programs of the SEC and FINRA, analyzes the metrics used to measure enforcement activity, and summarizes the important cases brought by regulators. Previously, he was a co-author of "Securities Litigation and Enforcement," a regular column appearing in the New York Law Journal.

Between 1984 and 1988, Mr. Indek was a compliance officer at E.F. Hutton & Co. In his last position at the company, he managed the Compliance Department's surveillance group. He joined Morgan Lewis in 1988 as a legal assistant specializing in the securities field. While a full-time legal assistant at the firm, Mr. Indek attended New York Law School, where he was a member of the Law Review and from which he graduated magna cum laude in 1992.

Mr. Indek is a member of the firm's Advisory Board, Finance Committee, and the New York office Management Committee.

Mr. Indek is admitted to practice in New York.

Overview
Career Highlights

Morgan, Lewis & Bockius LLP

RelSci Relationships

2399

Number of Boards

2

Number of Awards

1

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Partner at Morgan, Lewis & Bockius LLP

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Partner at Morgan, Lewis & Bockius LLP

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Chair at Morgan, Lewis & Bockius LLP

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Partner at Morgan, Lewis & Bockius LLP

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Partner at Morgan, Lewis & Bockius LLP

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Co-Managing Partner at Morgan, Lewis & Bockius LLP

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Chief Marketing Officer at Morgan, Lewis & Bockius LLP

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Partner at Morgan, Lewis & Bockius LLP

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Partner at Morgan, Lewis & Bockius LLP

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Co-Chairman, Global Technology Practice at Morgan, Lewis & Bockius LLP

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Ben A. Indek
Co-Managing Partner at Morgan, Lewis & Bockius LLP
Education
J.D., magna cum laude
Class of 1992

New York Law School is a private law school in the Tribeca neighborhood of Lower Manhattan in New York City, New York, United States. It is an ABA-approved law school. In 2014, the ABA identified the school as one of 18 law schools with a decline in enrollment of more than 30 percent in the last three years.

B.A.
Class of 1984

Founded in 1791, University of Vermont is the fifth oldest university in New England (after Harvard, Yale, Dartmouth and Brown). UVM is fully accredited by the New England Association of Schools and Colleges (NEASC). Called UVM for Universitas Viridis Montis, Latin for "University of the Green Mountains."

Memberships
Member
Prior

The New York University Law Review was founded in 1924, and is a generalist journal publishing legal scholarship in all areas, including legal theory and policy, environmental law, legal history, international law, and more. Each year, it publishes issues in April, May, June, October, November, and December. These six issues contain cutting-edge legal scholarship written by professors, judges, and legal practitioners, as well as Notes written by members of the Law Review. In November 2012, the Law Review launched the New York University Law Review Online, an online supplement to the print version of the Law Review.

Career History
Co-Managing Partner
1988 - Current

Morgan, Lewis & Bockius LLP provides transactional, litigation, labor and employment, regulatory, and intellectual property legal services to various industries. Their industry-focused practices include: antitrust, energy, life sciences, and securities. The company was founded in 1873 and is headquartered in Philadelphia, Pennsylvania.

Compliance Officer of Surveillance Group, Compliance Department
1984 - 1988

E. F. Hutton & Co. was an American stock brokerage firm founded in 1904 by Edward Francis Hutton, his brother Franklyn Laws Hutton, and later led by well known Wall Street trader Gerald M. Loeb.Under their leadership, Hutton became one of the most respected financial firms in the United States and for several decades was the second largest brokerage firm in the United States.

Political Donations
$1,000
2008

Former President of United States

$1,000
2007

Senator from New York

Awards & Honors
Admitted to the New York Bar
Other Affiliations

Ben A. Indek is affiliated with Morgan, Lewis & Bockius LLP, E.F. Hutton & Co., Inc.

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