Established over four decades ago by a former Chief Attorney of the SEC’s Division of Enforcement, Gusrae Kaplan has cultivated a reputation as a go-to firm for the many complex regulatory issues facing financial services firms. Building on our founder’s legacy, we count among our ranks a former General Counsel of the New York Mercantile Exchange as well as former in-house counsel at NASD member broker-dealers. This foundation arms our lawyers with incomparable perspective and sophistication in their representation of broker-dealers, investment banks and other corporate and individual securities professionals transacting business in domestic and international capital markets.
Our attorneys possess a deep familiarity with the legal frameworks applicable to financial services firms including the Investment Advisers Act of 1940; the Securities Act of 1933; the Securities Exchange Act of 1934; and the Commodity Exchange Act. In addition, we understand the panoply of federal and state regulators and their complex requirements, from FINRA and the national securities exchanges, to the various self-regulatory organizations.
Our regulatory practice is comprehensive. We counsel investment firms and their professionals from formation to expansion, and if necessary, dissolution and every phase in between. Equally important, while many clients count on Gusrae Kaplan as advisors through the entire life cycle of business, we are able to tailor our offering to suit the project and the client at hand.
- 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