Broker-Dealer Regulatory Issues And Customer Disputes
The Financial Industry Regulatory Authority (FINRA) is a powerful private agency that has the power to take enforcement action against broker-dealers who are licensed by the agency. FINRA actions can jeopardize the success of those caught up in regulatory or enforcement actions.
Our attorneys, at Paykin Krieg & Adams, LLP, have defended over 100 FINRA arbitration and have been involved in hundreds of FINRA regulatory issues; and have defended numerous regulatory lawsuits/enforcement proceedings. We have also represented broker-dealers in defending class action securities fraud lawsuits arising from failed investment banking deals.
As skilled litigators, we provide vigorous representation for broker-dealers in FINRA matters and understand that a lot is riding on the outcome of your case. We work diligently to protect our clients’ reputations, licensure, and ability to stay in business. We also capably handle FINRA arbitration and settlement negotiations and can represent clients in FINRA lawsuits
In addition, we offer corporate finance services, including assistance with private placements and other transactions. More detail is provided regarding these services on our Corporate Department webpage
Leveraging Extensive Experience And Valuable Skill Sets
For over 30 years, PKA’s attorneys have provided services in the financial industry for investment bankers and stockbrokers (registered representatives). Among the services include:
- Regulatory and compliance review
- Assisting with FINRA and SEC investigations
- Assistance with response to Rule 8210 requests and SEC subpoenas
- Defense of regulatory enforcement proceedings (both SEC and FINRA)
- Regulatory interface with FINRA and the SEC
- Assistance with customer complaints
Also, we offer legal representation in customer and industry arbitration (including customer, clearing and employment disputes); assistance with clearing matters; licensing issues and new broker-dealer formation; and assistance with state regulators.
Claims Involving The SEC
Many FINRA actions can lead to complaints with the Securities and Exchange Commission (SEC). Our lawyers represent brokers, broker-dealers and financial advisors in SEC claims as well as FINRA actions.
We defend clients against examinations, investigations, disciplinary actions and enforcement actions involving the SEC, FINRA or both.