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Broker Misconduct Lawyer - Stock Broker Liability Lawyer in New York and California
Shustak Frost & Partners specializes in broker-dealer law and securities law. Our specialized lawyers can help you avoid the need for a broker misconduct lawyer or stock broker liability lawyer. Our firm has formed and represented literally hundreds of broker-dealers over the course of many years. In particular, our firm assists new applicants in preparing their initial submission which must include, among other things, several forms (Form BD, U-4s, fingerprints cards, etc) as well as:
- Business Plan
Not in the ordinary sense, but a plan that encompasses who will supervise the broker dealer, how they'll do so, the type of broker dealer, its net capital requirements, how it will conduct its day to day operations, etc.
- Organizational Chart
Written supervisory procedures which must be tied to an an National Association of Securities Dealers checklist to ensure the examiner will read them.
- Surety Bond Acquisition
- DTC and Lost & Stolen Filing
- Other forms and filing requirements too numerous to list here.
We have worked with a number of corporations (or their law firms) on behalf of their broker dealer applicant clients and have assisted applicants in becoming private placement Broker-Dealers, General Securities Broker-Dealers, and every variant in between. As broker misconduct lawyers and stockbroker liability lawyers, we know what to look for and guard against and can protect your interests with your clients as well as regulators and the NASD. We have attended pre-membership interviews for Broker-Dealers applicants throughout the country and have good relationships with many of the NASD pre-membership or continuing membership examiners located at the various NASDR districts.
Our expertise in broker-dealer law can guide you in the proper set up so you can avoid the need for a broker misconduct lawyer or stock broker liability lawyer. Our advice and guidance can help you to avoid compliance problems. If you do need a broker misconduct lawyer or stock broker liability lawyer, Shustak Frost & Partners is experienced in securities mediations, litigation and arbitrations With our boutique philosophy and hands-on partner representation, you and your company receive the attention you need so that your company is up and running smoothly as soon as possible.
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