Our firm routinely represents industry professionals subject to investigation or prosecution by the SEC, NASD, NYSE and state securities regulators. Violation of regulatory rules may result monetary fines, suspension of employment for a member firm, or complete bar of employment for a member firm. These issues involve not only sales practice investigations, but investigations of brokers who wish to enter the securities industry and may be prohibited from doing so due to a past crime or other investigation.

Since the securities industry is self-regulated, defense against fraud, sales practice violations and other charges requires an in-depth knowledge of both administrative law and the securities industry. Since both partners were formerly in-house lawyers for New York Stock Exchange member brokerage firms, they bring an insider's perspective and expertise to defense in investigations by the SEC, NASD, and NYSE.

In addition to representing industry professionals, we regularly advise registered representatives on state registration issues. Since brokers must be registered in every state in which their clients reside, our attorneys understand that it is important to resolve any issues with state regulatory bodies as quickly and efficiently as possible.

If you have any further questions, or if you would like to speak with one of our attorneys regarding your securities regulatory matter, please do not hesitate to call our Manhattan office at (917) 639-5370 or toll-free at (877) 388-6461. If you prefer, you may e-mail us, or fill out the form on the Contact Us page of this website and a representative from the firm will be in touch with you shortly. We look forward to hearing from you.