Advising Registered Representatives and Principals

Since the firm’s inception almost 40 years ago, our attorneys have been representing registered representatives and principals of firms on a consistent basis.  As a result, we have a deep, unparalled and published track record of opinions in court and a combined over 150 arbitration awards after evidentiary hearings on behalf of our clients.

Our attorneys represent registered representatives in a wide array of matters including, Form U4 and Form U5 filings; state licensing issues; protocol, raiding, and other transitional issues; promissory notes; FINRA arbitrations; court proceedings; on-the-record interviews; subpoenas; regulatory investigations; and enforcement proceedings.

Our attorneys also represent principals of firms in a wide variety of matters including executive compensation; compliance and supervision; on-the-record interviews; regulatory investigations; and court proceedings.  Our attorneys have obtained dismissals of claims in state court, federal court, and in arbitration on behalf of securities principals.