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Securities

Lawyers in our Securities practice represent a broad range of financial service firms, including broker-dealers, placement agents and federal and state registered investment advisors. Our practice includes representation before the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities regulatory agencies, as well as state insurance departments.

Our broker-dealer clients include the traditional broker-dealer firms as well as independent broker-dealers. Among our clients are management-level employees, individual registered representatives and compliance personnel. We represent many investment advisor firms that provide asset management and financial planning services to their clients.

We have helped our clients establish their business and take them through the registration process with FINRA, the SEC and state regulators. We assist clients with their ongoing compliance needs and represent them during investigations or examinations by the SEC, FINRA and state regulators. We have represented clients before the various regulators in connection with fraud allegations, including insider trading, customer complaints, failure to supervise allegations and all matters that involve federal and state securities statutes and regulations and FINRA rules.