Practice Areas

We represent firms, investment professionals and registered individuals in connection with investigations and  enforcement actions initiated by the SEC, FINRA and state regulatory agencies.

The government and SRO investigations we defend for our clients involve a wide range of issues, including fixed income and equity trading, unauthorized trading, suitability, product due diligence, failure to supervise, best execution, mutual fund share classes, failure to disclose, Regulation SP and complaints resulting from customer arbitrations or litigation.  We also defend SEC enforcement actions against broker/dealers and investment advisers arising from examinations or specific areas of regulatory focus.  

In addition to regulatory defense, we provide regulatory counseling services to broker/dealers and investment advisors who are newly formed or who are expanding into new business areas.  We have experience  preparing compliance procedures, counseling clients during the regulatory examination process and assisting with new and continuing membership applications with FINRA. 

Our firm has defended broker/dealers in hundreds of litigation and arbitration matters.  We represent broker/dealers, registered representatives and other licensed individuals matters ranging from suitability to federal securities claims.   

We have significant knowledge of investment products, compliance issues, supervision, FINRA rules, product sponsors and selling agreements.   

We also have handled broker/dealer claims nationally, and as a result, we know many of the firms and attorneys who file investor claims in FINRA, and have arbitrated claims against those firms.  

We have represented firms in cases involving non-conventional investments, like REITs, TICs, mortgage loan pools, and hedge funds.  We have a network of well-qualified experts whom we call upon to provide us and our clients with early evaluation of both economic loss, and analysis of standard of care issues.        

Investment advisors face increasingly complex issues and a continually changing market place. 

We regularly represent investment advisory firms and investment adviser representatives in arbitration and in court proceedings involving claims of unsuitable advice, mismanagement and breach of fiduciary duty.  We understand the laws governing investment advisers and the distinction and intersection between state and federal law. 

We represent clients in a broad array of employment matters, including those relating to the transition of financial advisors to new financial services firms.

We review and counsel advisors on existing employment agreements and help them navigate customer privacy laws and various restrictive covenants, including non-competition agreements and non-solicitation agreements.  Our firm has represented individuals and firms involved in employment disputes pending in federal and state courts and in FINRA arbitration.