Overview
Litigation and Arbitration
We handle broker-customer and broker-employee litigations and arbitrations, litigation against the SEC, FINRA, other regulatory and self-regulatory organizations, and disciplinary hearings and appeals, and we provide counsel on regulatory matters. In addition, we represent clients in an array of employment and ERISA disputes, and practice in the FINRA Dispute Resolution, JAMS and American Arbitration Authority (AAA) arbitration forums and before the SEC, FINRA, Department of Labor (DOL) and state regulatory bodies.
Enforcement Investigations and Regulatory Examinations
Team members defend broker-dealers and their affiliated investment advisers, hedge funds, private equity firms, trading firms, and officers, directors, and registered representatives in enforcement investigations by the SEC, FINRA, other regulatory and self-regulatory organizations, state attorneys general offices and the Department of Justice (DOJ). We have extensive experience successfully defending enforcement investigations, leading internal investigations to assess issues such as self-reporting, and counseling clients through high-stakes regulatory examinations by the SEC and FINRA.
Compliance
We draft and review compliance manuals, codes of ethics, valuation and pricing procedures, portfolio-trading policies, proxy voting procedures, selective disclosure policies, anti–money laundering programs and business continuity plans, and we advise on annual compliance testing and risk assessments as well as Regulation Best Interest, ERISA and DOL fiduciary issues.
FinTech
We assist clients with issues related to drafting and reviewing technology and data agreements regarding high-frequency trading, evaluating infrastructure for matching engines and dark pools, risk checks, tools for proprietary trading, and market data distribution and licensing. Our attorneys also consult on financial big data and analytics, FINRA reporting and records management, and low-latency data connectivity services.
Broker-Dealer Resources
Insights & Events
Experience
Our Experience
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June 2020 1 min readBroker-Dealer Underwrites Public Offering for Intellicheck Inc.Financial Services Broker-Dealers Corporate Capital Markets
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November 2019 1 min readLiquidityEdge Sells to MarketAxess Holdings for $150MFinancial Services Broker-Dealers Corporate Mergers & Acquisitions
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December 2017 1 min readInsurance Broker Receives Strategic Organization and Licensing CounselFinancial Services Broker-Dealers Corporate
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2017 1 min readEdward Jones Redesigns Investment and Business Practices to Comply With New Fiduciary RuleFinancial Services Broker-Dealers Investment Funds & Management Benefits & Executive Compensation
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2011 1 min readBroker-Dealers Defend Against Securities Fraud in the U.S. District Court for the District of DelawareFinancial Services Broker-Dealers Financial Services Litigation Litigation
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1 min readBroker-Dealer Represented in FINRA ArbitrationFinancial Services Broker-Dealers Litigation