We form, update and qualify registered investment advisors, broker-dealers, hedge funds and other private investment firms to ensure compliance with federal and state law, as well as the mandates of the self-regulatory organizations (SROs). We work with Chief Compliance Officers to ensure their firm's policies and procedures and internal controls meet the standards required by law and to mitigate risk of suit. We handle a wide variety of matters for registered persons. The following is a list of some of our experience:
- Disciplinary Hearings Before the SEC, FINRA and NYSE involving Firms and Registered Representatives
- Broker-Dealer Formation, Compliance, Mergers and Divestitures
- Investment Adviser Act Formations and Compliance
- Employment Disputes Between Registered Representatives and Member Firms, including "Forgivable Note" disputes
- U-4, U-5 and CRD Expungement Issues
