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Representation of Broker-Dealers
and Registered Persons:
The Firm has extensive experience in the formation, registration,
compliance and representation of registered broker-dealer firms and affiliated
persons. Over the years, the Firm has formed and obtained NASD registration
for several hundred broker-dealer firms across the country and handled a
wide variety of matters for registered persons including the following specialty
areas:
- Disciplinary Hearings Before the SEC, NASD and NYSE involving Firms
and Registered Representatives
- Broker-Dealer formation, Compliance, Mergers
and Divestitures
- Investment Advisor Act Formations and Compliance
- Employment Disputes Between Registered Representatives and Member Firms,
including "Forgivable Note" disputes
- Securities Arbitrations Before the NASD, NYSE and National Futures
Association
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New
York Office
400 Park Avenue, 14th Floor
New York, NY 10022
tel: 212.688.5900
fax: 212.688.6151
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California
Office
401 West "A" Street, Suite 2330
San Diego, CA 92101
tel: 619.696.9500
fax: 619.615.5290 |
Eureka
Office
701 5th Street, Suite 300
Eureka, CA 95502
tel: 707.268.0600
toll free: 888.748.8748
fax: 707.268.0800 |
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