Representing the Securities Industry
I understand your business.Beginning as a Registered Representative with two major firms leading to a successful private legal practice representing numerous broker-dealers as well as the Independent Broker/Dealer Association, I understand the challenges and demands of your business.
I work with broker-dealers, registered representatives and investment advisors on all aspects of their business:
- FINRA Rule 1017 Membership and Continuing Membership Applications
- Regulatory and Compliance issues, including 8210 Requests, on-the-record interviews, 3070 and U-4/U-5 Filings, FINRA and SEC examinations
- Arbitrations, Mediations and Enforcement actions
- Customer Complaints
- Evaluation of written supervisory procedures and compliance systems, including training your staff
- State Regulators' proceedings and "Blue Sky Filings"
- Risk Management evaluation of business mix and RR practices