Pasquarello | Fink | Haddad LLC
Phone: (617) 963-0037           185 Devonshire Street, Third Floor
Fax:  (617) 505-1571              Boston, MA 02110
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    • Financial Services - Regulatory Defense and Compliance
    • Securities Litigation/FINRA Arbitration
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    • Daniel Pasquarello
    • Scott Fink
    • William Haddad
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​Financial Services - Regulatory Compliance and Defense
The firm represents and advises individuals and financial institutions in SEC, FINRA, and state securities regulator matters, and assists investment adviser and broker dealer firms with compliance issues. Specific areas of practice include:  

  • SEC/FINRA/MA Securities Division investigations and enforcement actions.​
  • Compliance matters for investment advisers (RIAs) and broker-dealers, including drafting client agreements, U4/U5 language, custody issues, Form ADV Brochures, AML practices, employee termination issues, codes of ethics, Regulation S-P, Regulation Best Interest, etc.
  • Registration, licensing, and heightened supervision issues (MA Sec. Division).
  • Broker Dealer registration and FINRA Rule 1017 Continuing Membership Applications.
  • Investment Adviser Firm registration (SEC and state). 
  • Internal investigations relating to allegations of securities law violations. 









The information provided on this website is for informational purposes only. Use of this website does not create an attorney-client relationship and the information provided herein does not constitute legal advice and should not be interpreted as such. Prior results do not guarantee a similar outcome
Copyright © 2018 Pasquarello Fink Haddad LLC.
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