Becker represents a wide range of financial services firms engaged in securities brokerage services, investment banking and investment advisory services. We provide comprehensive legal and regulatory advice and counsel in all areas of operations, including formation and business development, compliance, corporate finance and securities litigation.
We regularly represent financial services firms and individuals in regulatory investigations and proceedings conducted by the federal and state securities agencies and self-regulatory organizations, as well as litigated matters including securities arbitrations.
We are the go-to Firm for successful registered representatives that seek to establish their own broker-dealer or investment advisory firm. We have guided numerous individual brokers in the transformation from registered representative to securities principal and firm owner.
We assist clients with a wide range of regulatory matters, including:
- SEC and FINRA Compliance: We provide guidance on SEC and FINRA rules and regulations, including advertising, marketing, customer protection, trading practices, and recordkeeping.
- Regulatory Investigations and Enforcement: We represent clients in SEC and FINRA investigations, examinations, and enforcement actions, such as Wells Notices and disciplinary proceedings.
- Dispute Resolution: We represent clients in FINRA arbitrations and other dispute resolution proceedings, including customer complaints and broker-dealer disputes.
Perspectives
- Time for a Financial Check-Up
- Becker Serves as Underwriter Counsel for Technology & Telecommunication Acquisition Corp. in IPO
- “FINRA Set To Revise Code of Arbitration Procedure To Preclude Non-Attorneys From Representing Parties in Arbitration Cases” – New York Law Journal
- Becker Represents GreenVision Acquisition Corp. on $57M NASDAQ SPAC IPO
- Brian Daughney to be Honored as “Citizen of the Year” at 2019 Pineapple Ball
- View All