The securities and wealth management industry is highly regulated by a mixture of rules emanating both from government agencies, such as the U.S. Securities and Exchange Commission (SEC), to self-regulating organizations, such as the Financial Industry Regulatory Authority (FINRA). Our attorneys are experienced in counseling registered persons, broker-dealers, registered investment advisors (RIAs), and other financial institutions in a wide array of legal, regulatory, and compliance issues; we also frequently represent firms and registered persons in securities arbitrations and investigations. The firm’s attorneys have represented clients in arbitration proceedings in and regulatory investigations by bodies such as FINRA, the SEC, U.S. Department of Justice (DOJ), and state attorneys general and securities regulators. Our attorneys also have extensive experience defending clients in securities litigation, including class and derivative actions.
As a firm, our attorneys routinely counsel securities professionals, financial advisors, and financial institutions in compliance matters—to minimize risk—and zealously advocate for client interests once disputes begin, whether with regulators, customers, shareholders, or other industry professionals. Our attorneys understand how to navigate the unique procedural rules of securities arbitrations and litigation and have considerable experience in handling internal and regulatory-driven investigations into potential or alleged violations.
Some of the matters our attorneys have experience with as both claimants’ and defendants’ counsel:
- Churning cases
- Expungement of CRD/Form U5 disclosures
- Promissory note cases
- SEC, FINRA, DOJ subpoenas/investigations
- Selling away
- Drafting Form ADV and other compliance materials
- Drafting SEC filings