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off channel communications sec

The SEC’s Focus on Off-Channel Communications: A Compliance Guide

I’m sure you’ve seen the latest round of firms, both BDs and RIAs, being fined by the SEC for...

finra arbitration process

8 Things to Know if You’ve Been Named in a FINRA Arbitration

Receiving notice that you’ve been named as a respondent in a FINRA arbitration case can induce...

sec investigations and enforcement actions

What to Do If You’re Under Securities Investigation: 10 Tips from a Securities Lawyer

As a financial advisor, receiving a notice or phone call indicating that you are the subject of an...

contracts when leaving your firm

Breaking Away: Understanding Contracts When Leaving Your Firm

Are you considering breaking away from your current firm? If so, you’re probably filled with...

Robo-advisers Aren’t Just For Millennials

Navigating an SEC Investigation: What to Expect and How to Protect Yourself

Discovering that you are the focus of an investigation by the Securities and Exchange Commission...

SEC Violations: What You Need to Know

The Securities and Exchange Commission (SEC) plays a vital role in safeguarding the integrity of...

we are here to help with litigating class action securities claim

Litigating Class Action Securities Claims: Challenges and Opportunities

The process of litigating class action securities claims presents both complex challenges and...

Lawyers ensure private funds follow compliance rules.

Get It Right: 5 Reasons You Need Legal Support for Private Funds

You need to get it right when managing private funds. You already have your eye set on success. But...

A private fund manager discussing SEC compliance

Private Funds, the SEC, and the Law: Which Rules Apply?

A private fund refers to an entity that consolidates funds from numerous investors without actively...