Broker Dealer & Investment Adviser
Broker/dealers and Investment Advisers are specifically licensed and regulated by the SEC and by State Securities Administrators. We have worked with both broker dealers and investment advisers to register with the SEC and with state Securities Administrators.
Once registered, we work with the Broker Dealer and Investment Adviser in meeting their regulatory obligations. Where disputes arise between the regulators and the broker/dealer or investment adviser we represent the broker/dealer or investment adviser in resolving the dispute and we represent the broker/dealer or investment adviser in hearings before regulators. Moreover, when the regulators decide to investigate we represent the broker/dealer or the investment adviser in order to protect their interest and to avoid fines and penalties.
Broker Dealer Experience
Broker Dealer Experience
- We have represented broker/dealers in the filing of Form BD and their registration with the SEC, FINRA, SIPC and the states.
- We have represented broker/dealers in filing reports with the SEC.
- We have represented broker/dealers in inspections conducted by the SEC and FINRA.
- We have represented broker/dealers in disputes with the SEC and FINRA.
- We have represented broker/dealers in investigations conducted by the SEC, NASD/FINRA, NYSE, CFTC and MSRB.
Investment Adviser Experience
- We have represented Investment Advisers in filing of Form ADV and their registration with the SEC and state securities administrators.
- We have represented Investment Advisers in inspections conducted by the SEC.
- We have represented Investment Advisers in disputes with the SEC and the states.
- We have represented Investment Advisers in investigations by the SEC and the states.
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