Having structured and launched numerous investment firms, we know that the formation stage is rife with complexity — particularly now in a time of heightened regulatory scrutiny.
As a trusted partner in the process, our regulatory lawyers are able to provide value-added guidance on the initial considerations relating to corporate and tax structure, seed investments and ongoing capital arrangements. With an entity under way, we move on to registration and membership requirements, applications and subsequent coordination with the SEC, CFTC, FINRA, NFA and state regulators.
The most critical aspects of formation involve the development and implementation of robust compliance policies and procedures. These programs, the insurance and assurance between the broker-dealer and its clientele, are the key differentiators in broker-dealer marketing, business development, customer relationships and strategic alliances. They are also the best way to insulate the firm from regulatory inquiry and preserve the investment professional’s most precious asset — reputation.
- FINRA Fines Merrill Lynch $1,000,000 Based on GKN’s Success in NY Court Regarding Arbitration
- GKN Chosen One of the New York Area’s Top Ranked Law Firms
- GKN Obtains Dismissal of StockCross Financial Services in $2,808,660 Arbitration
- GKN Prevails on Behalf of Raymond James in Arbitration Alleging $2,000,000 in Damages with Panel Assessing Entirety of the $20,850 in Hearing Fees Against Claimant.
- GKN Wins $8.1 Million for Clients from Merrill Lynch after 12 Day Hearing
- GKN Wins Historic Appeal: FINRA Lacks Authority to Enforce Collection of Disciplinary Awards