Broker Dealers and Investment Advisors

Our securities broker dealer and investment advisor practice is centered in our New York City office, where our attorneys have extensive experience representing members of the securities industry through today’s rapidly changing regulatory, technological and economic environments. Our brokerage and advisory clients look to us to provide cost-effective, full-service solutions for a range of regulatory and general business problems arising in an increasingly challenging financial services climate.

Our diverse broker dealer clients include FINRA and NYSE member firms servicing institutional, retail and international accounts. These clients participate in a wide range of markets and products, including U.S. and foreign stock exchanges, ECNs, automated trading systems, and small cap and private placement offerings. For broker dealer clients, we provide support in connection with

• Formation, registration and licensing
• Acquisition and expansion of securities brokerages
• SEC, FINRA and stock exchange reporting issues
• Operational, supervisory, customer and personnel issues
• Financing and net capital matters
• Regulatory field examinations and disciplinary and enforcement proceedings
• Clearing and other intra-industry disputes
• Restructurings and liquidations

For our investment advisor clients, we help them in connection with formation, registration and licensing; custodial, marketing and subadvisor agreements; supervisory and internal control procedures; SEC examinations; and customer relationships and disputes.