Minnesota SEC/FINRA Compliance Attorney

Mark E. Czuchry, Esq. is an SEC/FINRA Compliance attorney from Minnesota. Attorney Czuchry represents insurance agents, financial advisers, and brokers in all matters related to firm and regulatory compliance. With over 20 years of experience under his belt, Mark has worked with over 700 insurance agents and financial professionals on more than 4,700 client cases covering a range of issues including financial and estate planning, insurance and securities compliance, and client relationship management. In terms of firm compliance, he has aided financial professionals by drafting responses of representative complaints to broker-dealers and external business activities. He is proficient in handling non-compete concerns, defending against outstanding amounts owed on forgivable notes, and negotiating Form U-5 disclosure language. On the regulatory side, Attorney Czuchry defends financial professionals against inquiries, investigations, and enforcement matters involving FINRA and the SEC. In many cases, he has successfully persuaded them to close inquiries without recommending or taking formal enforcement action. Through his performance and legal victories, Attorney Czuchry has received the distinguished "Excellent" rating from avvo.com and an A+ rating for his law firm (Czuchry Law Firm, LLC) from Better Business Bureau. To book your consultation today, call 952-443-4004 or fill out an online contact form his website.

Education

• University of Minnesota Law School, J.D., 1999
• Northwestern College, B.S., 1995

Bars

• Minnesota State Bar Association

Associations

• Public Investors Arbitration Bar Association, 2011, 2023
• FINRA/NASD Member Broker Dealer, 1999, 2013

Practice Areas

• Business and Commercial Law

HONORS & AWARDS

• Top Lawyer (The Legal Network)
• Excellent Lawyer (Avvo)
• Oral Argument Champion (Maynard Pirsig Moot Court)
• Best Brief Finalist (Maynard Pirsig Moot Court)

LOCATIONS