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Our Securities Practice team has extensive experience in securities litigation, regulatory compliance, and regulatory affairs.  We represent hedge funds, private equity firms, broker-dealers and investment advisers, and associated persons in all aspects of regulated financial activities, including SEC compliance and FINRA arbitration matters.  Our team has experience at major international law firms, regulatory agencies, and broker-dealers.

The Securities Practice team regularly litigates customer complaints and arbitrations before industry arbitration panels and courts around the country.  We also represent firms and registered personnel in state, FINRA, and SEC enforcement actions.

We also advise clients in compliance and regulatory matters including SRO, state and SEC registration and membership, withdrawal of registered entities, Form BD and Form U-4 reporting requirements, CCO certifications, drafting and revising compliance procedures, and new investment product due diligence.

Representative Matters:

  • Selling away
  • Unsuitable investment recommendations
  • Unauthorized trading/churning
  • Market timing
  • Bond markups and markdowns
  • Complex investment product sales practices
  • Receipt/deposit of client funds and securities

Representative Services:

  • Draft supervisory procedures, compliance manuals, and field manuals
    Respond to and manage regulatory inquiries
  • Present training seminars on industry rule changes, internal policies, and regulatory trends
  • Internal reviews in advance of regulatory audits
  • Investigate emergent risks including rogue brokers or breaches of internal controls

Throughout the COVID pandemic our business has been faced with unforeseen challenges. D’Ambrosio LLP has been there for support 24-7 as we looked to return from a national shutdown and reopen our studios across the United States.

Zoe Krislock, CEOMiniLuxe

D'Ambrosio LLP handles my legal matters with a great deal of attention and care. Their staff is available to me at all times and the attorneys respond immediately to my needs. The level of service is excellent.

John Hamel, Cofounder and General PartnerCue Ball Capital

When it comes to high stakes litigation there is no one better than Gerry and his team- smart, aggressive, and winners!

Roxann Carstensen, Managing PartnerMerrimack Environmental, LLC

D’Ambrosio LLP is everything a developer wants in a law firm. They are respected in Cities and Towns. They know land use law inside and out. And they have such a depth of experience representing developers, that they know exactly how to navigate their way through a tricky approval process. Post Road Residential feels very fortunate to have worked with such professionals.

Andrew Montelli, Founder & CEOPost Road Residential
September 8, 2023

Understanding 1983 Claims

March 28, 2023 in Insights, Litigation

Victory for Free Speech

When a Town Board of Selectmen unconstitutionally silenced a citizen at a public meeting, D’Ambrosio LLP assisted in representing her…
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March 28, 2023 in Insights, Litigation

Land Court win concerning easement dispute

Following a four-day trial in the Massachusetts Land Court, D’Ambrosio LLP attorneys secured a favorable verdict over the alleged “abandonment”…
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January 9, 2023 in Insights, Litigation

Successful Defense of Multi-Year FINRA Investigation

D’Ambrosio LLP successfully obtains a No Action Letter for our client following a three-year investigation by FINRA’s Department of Enforcement. Nationally,…
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January 9, 2023 in Insights, Litigation

D’Ambrosio LLP secures win for law enforcement

Our Trial Team frequently litigates constitutional questions. We recently defended a federal case in which our client, a retired Massachusetts…
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