Skip to main content.

Securities - Practice Area

  1. Practice Areas

Securities

We have a deep knowledge and understanding of securities laws and regulations, and decades of experience serving clients who operate in the securities industry. Our clients include individual brokers, broker-dealer firms, registered investment advisers, investment adviser representatives, and corporate directors and officers. In addition, we have helped a variety of companies with raising capital through exempt securities offerings and with compliance issues, including Sarbanes-Oxley compliance. If you need legal assistance in a securities matter, our attorneys have the knowledge and experience to meet your needs.

A significant portion of our securities practice involves representing brokers and brokerage firms in employment-related disputes administered by the Financial Industry Regulatory Authority (FINRA), and in handling TRO and preliminary injunction proceedings in state and federal court.  These matters typically involve disputes relating to non-compete and non-solicitation agreements, trade secrets, and forgivable loans.  

We also have a wealth of experience defending against regulatory enforcement actions and responding to regulatory investigations, including actions and investigations undertaken by the Corporations, Securities, and Commercial Licensing Bureau – Securities Division and by the Securities and Exchange Commission.

We also assist with the formation of Registered Investment Advisors, including the completion of Form ADVs and the drafting of related brochures. We are familiar with the strict rules that must followed to ensure RIA approval and on-going RIA compliance.

Other areas in which we have knowledge and expertise include:

  • Broker-dealer regulatory compliance
  • Corporate governance counseling
  • Minority shareholder oppression actions
  • Private placements
  • Proxy contests
  • Shareholder derivative actions 

News

View Archive