Securities Compliance


certificate1 Our firm provides experienced guidance and counsel to companies regarding regulatory and compliance matters. For over 40 years, we have provided representation to institutional broker-dealers, investment advisory firms, and banks in connection with securities compliance matters, including SEC audits, non-recurring research questions, interpretations and applications of covenants not to compete, and Form ADV and U4 updates. We also represent both investment firms and individual licensed representatives (BD and IAR) in job-transition (for example, non-compete and protocol issues), promissory note disputes, U4 disclosures, and salary/commission disputes.

certificate3 We also assist clients with securities focused corporate governance matters, including advising boards and registrants with respect to compliance issues such as developing codes of ethics and policies and procedures for areas such as managing records and insider trading. The quality and relevance of our compliance work is greatly enhanced by our hands-on experience with securities litigation. We fully recognize the pitfalls of insufficient compliance efforts and work diligently to guide our clients through them.

HJ Stock Cert

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