Understanding and Complying With Securities Laws
Information regarding securities regulations, regulatory inquiries and regulatory enforcement representation can be most effectively provided by experienced securities defense lawyers. With offices in New York and New Jersey, Davidson & Grannum, LLP, provides sophisticated legal counsel and advice to clients across the nation. If you have questions about securities matters, the firm can assist with matters, including:
- SEC/FINRA/NASD and state securities issues: The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and its predecessor the National Association of Securities Dealers (NASD) all regulate various parts of the securities markets.
- Regulatory inquiries: When the legal team represents broker-dealers and banks in response to regulatory inquiries, it thoroughly analyzes all documents and information associated with the investigated party.
- Regulatory enforcement: Under the SEC rules, broker-dealers who are in violation of regulatory proceedings must receive a notification from FINRA, NYSE or state securities commissions. Davidson & Grannum defends clients who are under investigation for regulatory matters.
- Acceptance, Waiver and Consent (AWC): Letters of Acceptance, Waiver and Consent (AWC) are provided under FINRA to resolve controversies. The firm negotiates AWCs for clients who are involved in violations regarding rules, regulations or statutory provisions.
In any legal matter, the sooner you contact an experienced lawyer, the more options are available. Davidson & Grannum's legal team evaluates everything to determine if there is a feasible resolution, and its lawyers advise clients as to whether it will be more advantageous to settle or to fight. When it is in the client's best interest, the team will take things to trial. The firm has won against the federal SEC.
Davidson & Grannum has experience with Self-Regulatory Organizations (SROs), and the firm's attorneys have appeared before and defended clients before the SEC, NYSE, FINRA and various state regulators. If you are interested in learning more about the representation available, contact the firm online or call 877-854-2510 to schedule your initial consultation.
