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Broker-Dealer Licensing, Compliance and Regulation

Practices

Few businesses are more closely regulated than those involved in the purchase and sale of securities. Broker-dealers and their registered representatives are subject to scrutiny by FINRA, the SEC, and the Ohio Division of Securities. For over twenty-five years, we have practiced in this field and have assisted broker-dealers and their representatives with licensing, registration, litigation and disciplinary inquiries. With a detailed understanding of the securities industry, we enjoy an excellent reputation for producing positive results for our broker-dealer clients.

Broker-Dealer Regulation and Compliance

We have extensive experience with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, FINRA regulations and the various state securities laws. We have worked closely with our broker dealer clients advising on current industry practices and procedures. We routinely assist our clients in responding to regulatory audits and inquiries, customer complaints, and internal investigations.

Registered Representative Licensing and Investigation

With each passing year, the regulation of registered representatives by FINRA and state securities agencies has intensified. When your license is at stake, you want an attorney who has extensive experience with securities regulators and licensing matters. Our attorneys represent registered representatives in investigations, enforcement and licensing matters before FINRA, the SEC, the Ohio Division of Securities, the Ohio Department of Insurance, and other state regulators. We provide assistance with state licensing inquiries and represent representatives who are involved regulatory investigations.

Broker-Dealer Litigation and Arbitration

When a regulatory investigation becomes an enforcement matter, our clients turn to us for representation in civil, administrative and regulatory matters before FINRA, the SEC, CFTC, and the Ohio Division of Securities. We also provide representation in FINRA arbitrations involving brokerage customer claims.

Broker-Dealer Services

We provide the following services on behalf of our broker-dealer clients:

  • Business formation
  • Broker-dealer registration
  • Registered representative licensing
  • Commission sharing agreements
  • Retiring broker agreements
  • Compliance policies and procedures
  • Employment contracts and covenants not to compete
  • Compliance issues and customer complaints
  • Regulatory investigations
  • Enforcement actions
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