Securities Litigation, Regulation & Compliance
Attorneys who practice in this area advise registered investment advisers, broker-dealers, insurance companies, and other financial service institutions about compliance with regulations governing the securities industry. Our attorneys have advised clients about registration with the Securities and Exchange Commission (SEC) and have represented broker-dealers in actions before the Financial Industry Regulatory Authority (FINRA).
Our attorneys have experience in such compliance matters as—
- Statutory requirements under the Investment Advisers Act of 1940.
- Regulations promulgated by the SEC.
- Anti-money-laundering (AML) rules, regulations, and compliance.
- Development and implementation of supervisory and risk-management systems.
- Application, formation, and registration of broker-dealers.
- Advertising, marketing, and other sales practices.
- Development and enforcement of internal compliance and supervisory procedures.
- Prevention and management of conflicts of interests.
Our attorneys have experience in litigating such issues as—
- Unsuitable trading and recommendations.
- Breach of fiduciary duty.
- Unauthorized trading.
- Failure to supervise.
- Excessive trading.
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