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Securities Compliance Sentinel Analysis of cutting-edge securities industry issues

Services

The highly regulated securities and financial industry has a host of complex problems. Financial institutions often find themselves on the receiving end of audits, investigations and other compliance issues. That is where Fox Rothschild’s Securities Industry practice group can help.

Our seasoned attorneys—who include former SEC and DOJ attorneys, a former state securities director, a former general counsel, senior vice president and corporate secretary to four broker-dealer subsidiaries of a global investment bank and a member of the Regulatory Division of the New York Stock Exchange—provide an array of regulatory services to our clients including defending individuals and entities in SEC, DOJ, CFTC, FINRA, PCAOB, state securities and insurance regulatory investigations and inquiries, as well as civil and criminal investigations.

Our highly skilled team’s experience extends to creating and maintaining broker-dealers, investment advisers, hedge funds, as well as preparing and reviewing all filings and compliance materials and contracts.

Individuals and business rely on our representation concerning FINRA and NFA arbitrations involving both customer and industry disputes, as well as securities litigation in federal and state courts. We also conduct internal investigations and risk avoidance reviews for financial institutions and individuals, as well as provide back office assistance/reviews of procedures, preparation of manuals, customer documents and licensing issues.

For additional information, please visit our Securities Industry Practice Area home page