Securities Litigation

Our Derivatives practice group has assisted both buy-side and sell-side clients in a variety of their Derivatives needs.  Our Derivatives Practice group brings the perfect balance of the expertise of an AM100 law firm with the cost savings flexibility of an Alternative Legal Service Provider.

We understand that planning for the future can be troubling. However, it is an important task that can give you and your family security and peace of mind.  Our estate planning attorneys are here to help you navigate the process. We have extensive experience in this area of law and can draft, review, and amend comprehensive estate plans to meet your unique needs.

With extensive experience in litigation, we provide dedicated and effective representation for our clients in legal disputes involving securities.

We offer comprehensive legal counsel in SEC and FINRA regulatory matters and investigations, ensuring compliance and protection for our clients.

We provide guidance and legal advice, ensuring financial professional’s compliance with ever changing regulatory landscape.

Our firm assists financial professionals in responding to FINRA 8210 requests and preparing for on-the-record (OTR) interviews. With extensive experience participating in numerous OTRs both as defense counsel and as a former Senior Counsel for FINRA’s Department of Enforcement, we provide invaluable insight and advocacy to protect clients’ interests and navigate regulatory scrutiny effectively.

Our firm represents financial professionals and firms in FINRA regulatory investigations, leveraging deep industry knowledge to navigate inquiries, defend against allegations, and protect careers and reputations. We offer skilled legal counsel, representation, and strategic advocacy to achieve the best possible outcomes.

Representing financial professionals, we offer strategic legal guidance and representation in various legal matters involving FINRA or the SEC, including investigations and on-the-record (OTR) interviews.