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Overview

During recent years and continuing into the foreseeable future, the securities industry has been undergoing a dramatic transformation along with most of the financial services industry. Securities and investment-related organizations of all types — from the largest global investment banking and wealth management firms, to mid-sized market-makers and institutional trading firms, to specialty automated execution or proprietary trading firms — virtually all are experiencing greatly increased regulatory scrutiny, competition and downward pressure on revenues and profits. The ongoing meltdown of credit and capital markets, the need to remain abreast of rapid technological changes and the certainty of increased regulation of hedge funds, insurers and other financial intermediaries will only add to these industry challenges.

Garvey Schubert Barer attorneys are uniquely positioned to provide the transactional, regulatory and litigation support and counseling that today’s securities markets participants demand. Our clients have included major brokerage houses, FINRA, NYSE and AMEX member firms, institutional and electronic trading firms, specialty and niche market brokerages, and investment advisory and asset management firms. Our practice is comprised of a multidisciplinary group that regularly draws upon the full spectrum of the firm's resources to protect and advance the interests of our securities industry clients.

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