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.
General Broker Dealer and Registered Investment Advisor Representation
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.