Broker-Dealers

We counsel investment advisers, broker-dealers, fund managers, private equity firms, proprietary trading firms, futures commission merchants and commodity trading advisers, including those that are part of larger financial institutions such as banks, insurance companies and agribusinesses. We support you through regulatory counseling and compliance issues that arise during the life cycle of broker-dealer and investment advisor firms including formation, M&A transactions, operations, examinations, enforcement investigations and civil proceedings. Our team, composed of industry personnel with varied backgrounds including positions as enforcement attorneys, general counsel, chief compliance officers and compliance analysts to asset managers, hedge funds and brokerage firms, has the experience, creativity and bench strength to advocate for your interests in matters involving the SEC, CFTC, FINRA, securities and commodities exchanges, state securities regulators and others.