KEN ASHTON is an associate practicing in the Securities Enforcement and Regulatory group, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. His practice focuses on representation of securities compliance and enforcement matters affecting financial institutions, with an emphasis on sales practice and supervisory rules applicable to broker-dealers and their associated persons. Ken’s extensive regulatory experience informs his comprehensive approach to challenges that clients encounter throughout their various lines of business.
Prior to joining the firm, Ken served as an examination manager at FINRA’s (formerly NASD) Boston District Office. In his 13 years with FINRA, Ken conducted and managed for cause investigations arising out of broker-dealer examinations, regulatory tips, customer complaints or broker terminations and counseled member regulation staff and industry participants on FINRA and MSRB rules.