Securities

We focus on a variety of securities issues from the fraud to the consumer issues as well as the regulatory compliance and arbitration issues facing employees of broker-dealers and those who are wishing to use the securities laws to raise capital.

This includes securities fraud, broker-dealer issues, FINRA compliance, FINRA claims and defenses, SEC claims and compliance, IPO’s, securities registration, limited partnerships, by replacements FINRA arbitration, investor fraud, venture capital, stock and asset acquisitions.