Our broker-dealer and investment adviser practice is robust, with nationwide capabilities. We regularly work with all types of industry participants and have substantive experience with issues traditionally faced by our clients, as well as with those that are new or non-traditional, such as FinTech, cryptocurrency, and privacy and data protection. Our versatility enables us to handle issues in different contexts, including:

  • Formation, registration, and membership
  • Regulatory and compliance counseling
  • Transactions, offerings, and operations
  • Internal reviews and investigations
  • Regulatory investigations and enforcement
  • Customer, industry and employee disputes