Attorneys at Law

Practice Area

Broker-Dealer Securities Regulations

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Work In This Area

Represented a $5B+ hedge fund establishing a FINRA broker-dealer and provide ongoing regulatory counsel to the broker-dealer.

Represented a $2.7B investment management firm in establishing a FINRA broker-dealer.

Represented investment bankers in establishing a $30M+ hedge fund and related Phlx and NFA-member broker-dealer and provide ongoing regulatory counsel to the hedge fund and broker-dealer.

Represented a foreign company in acquiring a broker-dealer, receiving approval from the regulators for such acquisition, and expanding that broker-dealer’s permitted activities to include private placements.

Represented a foreign broker-dealer in a FINRA membership application.

Represented the managing directors of a bulge bracket firm with their separate FINRA and NFA membership applications and ongoing regulatory counsel to their broker-dealers.

Represented four affiliated broker-dealers that are market makers (FINRA) and specialist (NYSE) with establishment of additional broker-dealers and provided ongoing regulatory counsel to all affiliated broker-dealers.

Represented a partner of a hedge fund in purchase of other partner’s interests.

Represented a FINRA member in proving that a host of unapproved securities activities were non-material changes to the member’s business lines that did not require approval from the regulator.

Represented a foreign broker-dealer in recovering its funds stolen by a United States clearing broker-dealer.

Represented a National Futures Association member in proving exemption from the Privacy of Consumer Financial Information Under Title V of the Gramm-Leach-Bliley Act.

Represented a FINRA member in proving that a host of unapproved securities activities were non-material changes to the member’s business lines that did not require approval from the regulator.

Represented a FINRA member in dispute over name with similarly-named broker-dealer.

Represented a NYSE/FINRA broker-dealer in acquisition of soft-dollar business from another broker-dealer.

Represented a registered representative before FINRA regarding investigation of allegedly undisclosed outside business activities.

Represented a floor specialist broker-dealer before the Amex for allegedly trading ahead as well as provide ongoing regulatory counsel to the broker-dealer.

Represented an investment banker before FINRA for allegedly removing records of employer after uncovering fraud at a broker-dealer.

Represented a registered representative before FINRA in an investigation into supervisory activities, fraud, and money laundering.

Represented a FINRA broker-dealer in FBI investigation of rogue individuals impersonating the broker-dealer and fraudulently obtaining $4M.

Represented an NYSE supervisor in arbitration by former employee who was seeking to collect an award for lost wages and business opportunities.

Represented an NYSE member in arbitration to collect fees from a broker-dealer for the leasing of an NYSE seat.