The firm represents and advises individuals and financial institutions in litigation, arbitration, regulatory, and compliance matters. Specific areas of practice include:
- SEC/FINRA/MA Securities Division investigations and enforcement actions.
- Non-compete, non-solicit, and Protocol for Broker Recruiting matters.
- Registration, licensing, and heightened supervision issues (MA Sec. Division).
- Compliance matters for investment advisers (RIAs) and broker-dealers, including drafting agreements, U4/U5 language, custody issues, Form ADV Brochures, termination issues, codes of ethics, Regulation S-P, etc.
- FINRA arbitration (both investor and industry disputes), as well as securities litigation (e.g., institutional investor suits).
- Internal investigations relating to allegations of securities law violations.