General Broker-Dealer and Registered Investment Advisor Representation

Our broker-dealer and registered investment advisor practice provides a broad range of legal services to the broker-dealer and registered investment advisor communities. Some of these services include transactional, advisory, investigatory, litigation/arbitration and regulatory matters.

With the myriad issues facing the broker-dealer and registered investment advisor industry today, and the increasingly complex environment of regulatory issues and litigation, our comprehensive experience and client-focused expertise enables us to provide the highest quality of legal and advisory services to our valued clients.