Broker Dealer / Investment Adviser

  • Advice to broker-dealers and investment advisers on the creation of compliance programs and codes of ethics
  • Representation of broker-dealers in adversarial and investigative proceedings before federal, state, and self-regulatory securities authorities
  • Advice regarding the formation, organization, registration and exchange membership applications of new broker-dealers
  • Advice to international broker-dealers concerning sales practice, compliance, litigation operational and risk management issues
  • Preparing and conducting sales practice and compliance training for broker-dealers concerning industry regulations and best practices