Financial Services Representation

Broker Dealer & RIA Services

Our firm has over 40 years of experience in the representation of broker-dealers in every aspect of their job. We provide broker-dealers and individual registered representatives with advice as to compliance with regulatory requirements, and also represent them in dealings with the Securities and Exchange Commission, state securities administrators, the New York Stock Exchange, FINRA and other regulatory authorities.

We have assisted our broker-dealer clients in their preparation for regulatory examinations, and our attorneys have lectured to broker-dealer employees on compliance and ethical matters in various speaking engagements. Included among our clients are member firms and securities registered representatives whose members we represent in customer arbitrations and regulatory matters.

Our attorneys bring to the table a deep level of subject matter knowledge and professional experience in investigating and building complex financial cases. Our first-hand knowledge of the internal compliance mechanisms of major broker-dealers combined with our experience with risks and trading mechanics of a variety of securities allows our firm to offer clients an unparalleled competitive advantage over their adversaries.

Our Broker-Dealer Regulation attorneys assist clients with the formation of procedures and ongoing compliance initiatives pertaining to securities broker-dealers.

We can assist with all aspects of the "new member application" process, including preparing and filing documents such as the:

  • Form BD
  • Entitlement documents
  • Forms U4 or U5
  • Written Supervisory Procedures
  • Business Plan
  • Anti-Money Laundering Procedures
  • Business Continuity Plan
  • Firm Element/Continuing Education Manual
  • Providing advice on all aspects of U.S. federal and state securities laws, including regulation by the national securities exchanges, FINRA and other self- regulatory organizations

Our firm assists clients with ongoing issues related to continuing education, licensing, and enforcement matters and monitoring developments in regulatory and compliance matters including SEC and FINRA rule proposals; and Representing broker-dealer clients and individual registered representatives in litigation, arbitration and regulatory enforcement proceedings.

Start By Contacting Our Attorneys

We strive to provide premier legal services to all of our clients. If you have any questions or concerns, please provide us with a description about your issue. An attorney will review your message and get back to you promptly.

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