Overview

Broker-dealers require experienced counsel to help them navigate and resolve regulatory, business and legal challenges. Our understanding of broker-dealer operations runs deep, with a team that includes former in-house counsel and chief compliance officers, as well as Securities and Exchange Commission (SEC) alumni. We help you launch and/or acquire operations, craft compliance policies and procedures, and respond to potential regulatory matters. Our business counsel includes handling contracts, advertising and offering material. We also defend you and your professionals against liability under securities, racketeering and consumer protection statutes and in employment and ERISA disputes. We represent you in arbitrations before the Financial Industry Regulatory Authority (FINRA) and alternative dispute resolution organizations including the American Arbitration Association (AAA) and JAMS. We have the experience to advocate for your interests before federal regulatory and administrative authorities and state securities regulators.
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