BROKER-DEALER

 

LEGAL COUNSEL TAILORED TO BROKER-DEALER COMPLIANCE AND OPERATIONS

Practus LLP’s Broker-Dealer practice provides strategic legal counsel to broker-dealers, registered representatives, and financial institutions. With decades of experience and deep industry knowledge, our attorneys help clients navigate complex regulatory frameworks and achieve their business objectives with confidence.

WHY CHOOSE PRACTUS?

At Practus, we understand the unique challenges broker-dealers face in today’s dynamic market. Our team’s hands-on experience, flexible approach, and dedication to client success set us apart. We collaborate closely with clients to provide innovative, cost-effective solutions that align with their goals and priorities.

OUR BROKER-DEALER SERVICES INCLUDE:

  • Regulatory Compliance: Advising on FINRA, SEC, and state securities law requirements, including registration and licensing. 
  • Formation and Structuring: Establishing broker-dealer entities and advising on ownership structures and operational strategies. 
  • Ongoing Operations: Drafting and reviewing agreements, policies, and procedures for compliance with industry regulations. 
  • Dispute Resolution: Representing clients in arbitrations, enforcement actions, and other disputes. 
  • Transactional Support: Guidance on mergers, acquisitions, and strategic partnerships within the broker-dealer sector. 
triangle-pattern-right

OUR BROKER-DEALER ATTORNEYS

 

Karen A. Aspinall
Karen A. Aspinall
Read Full Bio
Janet V. Hallahan
Janet V. Hallahan
Read Full Bio
Kirk A. Montgomery
Kirk A. Montgomery
Read Full Bio
Robert Moreiro
Robert Moreiro
Read Full Bio
John F. Ramirez
John F. Ramirez
Read Full Bio

LET’S WORK TOGETHER

We take on complex and challenging legal matters with an elite team of attorneys. Get in touch with our Practus Partners and let’s get started in helping you or your organization.

Contact Us
triangle-pattern-right

Search Icon