Regulatory Practice

Regulatory Practice

Our attorneys have extensive experience dealing with federal, state and local regulators, representing clients before a variety of regulatory boards.

The Executive Branches of both the Federal and New Jersey governments have more than a dozen Executive or Principle Departments (15 each), most of which are divisible into numerous Agencies, sub-agencies, bureaus, and offices. New Jersey has 71 Agencies; the Federal government’s Agencies, Offices, and Bureaus number 261. These Departments and their Agencies have extensive regulatory schemes governing the conduct and practices of licensed/certified businesses, individuals, and their employees.

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Financial and Market Regulation

We have represented both businesses and individuals where violations of State or Federal regulations have been alleged. By way of example, in New Jersey alone, we have assisted Doctors, Dentists, Realtors, Veterinarians, Securities Brokers, Teachers, Bankers, Restaurateurs, Liquor Licensees, and Train Conductors, just to name a few. These proceedings include representations before a professional licensing board, before an appointed hearing officer, in an Administrative Court system before a judge, and other contexts. Additionally, our attorneys have extensive experience representing law enforcement professionals in administrative proceedings.

As the core of our work is White Collar Criminal Defense, the regulatory spheres we perhaps know most intimately are those relating to finance and the markets for securities and commodities. We have represented a multitude of businesses and individuals accused of regulatory violations in these areas, as such violations are often otherwise punishable as crimes under any number of different statutes. We have represented brokers, dealers, traders, and other individuals and entities involved in the securities and/or commodities industries before the federal Securities and Exchange Commission (SEC), the federal Commodities Futures Trading Commission (CFTC), and the New Jersey Board of Securities. Disputes with these agencies can be litigated both administratively and in the courts, and our white-collar defense practice has frequently found us litigating against the Securities and Exchange Commission in the United States District Courts. We have also been involved with disputes with the Financial Industry Regulatory Authority (FINRA), which is actually a private corporation and not a federal department or agency, but which very much acts as one, promulgating rules that govern the conduct of many market participants, imposing penalties and sanctions for their violations, and referring more serious matters to SEC for its consideration.

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  • "Aside from my wife, Jack may very well be the only person in my life that I truly trust"
    Jack Arseneault might very well be one of the best attorneys in the USA, however, he is by far a much better person than he is an attorney. He has been my attorney for over 25 years and not only has his counseling been amazing, but his care for the well-being of myself and my family has gone and continues to go above what anyone would expect from their attorney. Jack ALWAYS put my needs and my family's needs before his own and advised based on what was best for us as opposed to what would make him the most money. Aside from my wife, Jack may very well be the only person in my life that I truly trust and I am honored and privileged to not only call him my attorney, but more importantly one of my best friends.
    - Sam
  • "Big heart and empathetic spirit"

    Jack Arseneault was a beacon of hope to my family and I at a time when my options appeared limited back in 2011. I pretty much would of been behind bars without a doubt if it wasn’t for him. Not only was he able to defend and clear me of all charges, he made sure my record was cleared. His big heart and empathetic spirit offered us emotional support as well. He went over and beyond for us, he did things he didn’t have to do. He would always make time for me and till this day, he’s just a phone call away. I thank God for bringing him into our lives and I am ETERNALLY grateful for his service. I would recommend him without any hesitation.

    - Dominique
  • "I had discussed my brother cases with their professional team and they solved my problem."
    My brother was facing criminal charges which were a result of identity theft. My friend suggests me to contact Arseneault & Fassett, LLC. I had discussed my brother cases with their professional team and they solved my problem. My brother was released later that evening. Thanks!
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  • "Their staff is experienced and give you the best solution for your problem."
    My experience with Arseneault & Fassett, LLC was exceptional: they were knowledgeable and professional. Their staff is experienced and give you the best solution for your problem. We were very satisfied with the outcome of our case. I would refer to everybody.
    - Charlize J.
  • "Jack is not only a great lawyer, but a great man"
    I hired Jack to defend me in a criminal case brought against me by the Federal Government. Jack worked tirelessly for me for over four years which resulted in a positive outcome that I believe would not have been achieved by any other lawyer.
    Jack is not only a great lawyer, but a great man. At no point during the extremely stressful process did I feel that Jack did not genuinely care about me. I don’t think that I can adequately write a review that expresses the amount of gratitude that I feel for the work that Jack Arseneault did on my behalf.
    - Frank
  • "Mr. Roberts was able to get me on probation"
    I was facing severe criminal charges and motor vehicle offenses. Mr. Roberts was able to get me on probation, also lower my chargers to a lesser offense. In the motor vehicle situation I was able to get fines with no points on my license.
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  • "I was amazed at how quick my record was cleared"
    John Roberts worked quick and efficiently in getting my record expunged. I was amazed at how quick my record was cleared. Everything that was asked of him he was able to execute. I am grateful for his service. I would recommend him without any reservation
    - Dominique
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    My name is Vanyo Petrov Minkov and you can google me in order to check that this post is not fake. Jack Arseneault literally saved my life. I was facing from 120 months up to life and the only reason I got back home after 40 months was his. I have absolutely no words to express his level of commitment and professionalism. He cared for me like a son and our connection wasn't like attorney/client, it was more like a father/son. Every second on the court, he fought like for his own kid. I strongly recommend the services of this amazing character. In my humble opinion He is the best lawyer you can get ...
    - Vanyo Minkov

Attorney Ethics

One area of New Jersey regulatory law in which we’ve handled numerous matters is in the Office of Attorney Ethics. Though we scrupulously adhere to the Rules of Professional Conduct ourselves, it is an unfortunate reality of our profession that not all attorneys and judges always do and their conduct, or perceived conduct, can result in an ethics complaint being filed against them. Many times, we have come to the aid of our fellow Bar members when an accusation has been made against them and their careers are put in jeopardy. We are highly regarded for our work in these cases, assisting attorneys and, at times, judges alleged to have violated Rules of Professional or Judicial Conduct. These ethics-related matters are usually confined to the New Jersey Office of Attorney Ethics, but we have also appeared before the Disciplinary Review Board and, occasionally, the State Supreme Court on these matters.

In many cases, professions, businesses, and varying types of conduct even of agency employees are subject to both State and Federal regulation and oversight, as can be seen in the following lists of their Executive Departments:

Agriculture Agriculture
Commerce Attorney General’s Office, Law & Public Safety
Defense Banking & Insurance
Education Children & Families
Energy Community Affairs
Health & Human Services Corrections
Homeland Security Education
Housing and Urban Development Environmental Protection
Interior Health
Justice Labor & Workforce Development
Labor Human Services
State Military & Veterans Affairs
Transportation State
Treasury Transportation
Veterans Affairs Treasury
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Our Results

Our top priority is to devise customized legal strategies that are tailored to the unique legal needs of our clients, no matter how simple or complicated their situations, might be.

  • 18-Month Sentence $25M Securities Fraud
  • Outright Dismissal 17-Count State Criminal Indictment
  • Dismissed Abuse of Process, Tortious Interference, and Civil Conspiracy
  • Acquittal Billing Fraud
  • Acquittal Of All Charges Billing Fraud
  • Settled Breach of Contract

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