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.
- 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
- 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