Jaeger PLLC

Jaeger PLLC is a securities and financial services law firm based in Reston, Virginia, near Washington, D.C. The firm represents clients in SEC and FINRA enforcement matters, regulatory examinations, inquiries, investigations, and compliance reviews. Its work is designed for broker-dealers, registered investment advisers, hedge funds, private funds, stock exchanges, public companies, compliance officers, senior executives, and other securities market participants. The firm helps clients understand regulatory concerns, respond effectively, and protect their legal and business interests.

Jaeger PLLC handles SEC and FINRA enforcement investigations and litigation defense. The firm assists with subpoenas, document requests, on-the-record testimony, depositions, Wells notices, settlement negotiations, and litigation strategy when a matter cannot be resolved. Its understanding of how regulators evaluate evidence, credibility, supervision, and market conduct allows the firm to develop focused responses while maintaining constructive communication with enforcement staff.

Jaeger PLLC also guides clients through SEC and FINRA examinations, regulatory reviews, and related inquiries. The firm manages document productions, prepares clients for interviews and on-site visits, coordinates internal reviews, and helps address deficiencies identified by examiners. Its approach focuses on resolving concerns before they grow into formal investigations or enforcement referrals whenever possible.

Jaeger PLLC provides regulatory compliance counseling intended to reduce risk and strengthen operational readiness. The firm helps clients develop written supervisory procedures, testing programs, documentation standards, internal controls, and staff training. It also conducts mock examinations, compliance program reviews, and control testing. Founder Michael P. Jaeger brings more than a decade of experience from the SEC, FINRA, and private practice, giving the firm practical insight into regulatory decision-making. Through informed guidance and careful preparation, the firm helps financial industry clients manage immediate challenges and build stronger compliance programs.