FINANCIAL MARKETS PRACTICE
The Financial Markets Practice at Stern Tannenbaum & Bell serves firms and associated individuals regulated by the Securities and Exchange Commission, FINRA and other securities self-regulatory bodies. These include broker-dealers and their registered representatives, registered investment advisors, hedge funds, private trading firms and other financial market participants. Our lawyers in this area have large-firm experience, and also served as senior financial firm executives. They are knowledgeable of both the legal and the business issues facing these clients, and they pride themselves on providing comprehensive, practical, responsive and cost-effective solutions.
We have practiced before the SEC and FINRA, as well as all state and federal courts. We have represented clients in SEC administrative trials, SRO enforcement actions and industry and customer arbitrations and mediations, and before congressional committees.
Our wide experience includes forming broker-dealers and registered investment advisors, drafting FINRA membership applications and modifications and representing clients throughout that process, employment disputes involving securities firms and their registered representatives, preparing compliance procedures and manuals for regulated entities and processes, arranging mock regulatory audits to uncover potential compliance issues in time to correct them, representing clients in all phases of regulatory enforcement actions, from initial investigations through trial and appeals, representing clients in all intra-industry and customer disputes, including arbitrations, mediations and court proceedings.