The securities and regulatory matters group appears in all litigation forums and before both Federal and State securities regulatory agencies.

We represent brokerage firms, brokers, investment advisers and customers in investigations and proceedings by the Securities and Exchange Commission, state securities regulators and self-regulatory organizations, such as the National Association of Securities Dealers, Inc., now the Financial Industry Regulatory Authority.

The Firm also regularly represents brokerage firms, customers and brokers in a variety of actions, including cases involving fraud, breach of contract, suitability, churning, discrimination, employment and raiding.

We also advise brokerage firms, brokers and investment advisers in complying with their regulatory obligations, and in preparing investment advisory agreements, customer agreements, compliance and supervisory manuals and employment agreements for brokerage firm personnel.