Bachner & Associates, P.C. routinely represents industry professionals subject to investigation or prosecution by the SEC, FINRA, NYSE and state securities regulators. Violation of regulatory rules may result monetary fines, suspension of employment for a member firm or complete bar of employment for a member firm. These issues involve not only sales practice investigations, but also investigations of brokers who wish to enter the securities industry and may be prohibited from doing so due to a past crime or other investigation.
Bachner & Associates, P.C., has more than 20 years of experience helping brokers and other securities professionals in New York City and beyond comply with relevant regulations. To learn more, call 917-639-5370 or contact us online.
Insider's Knowledge About Securities Regulations
Since the securities industry is self-regulated, defense against fraud, sales practice violations and other charges requires an in-depth knowledge of both administrative law and securities matters. Both partners of our firm were formerly in-house lawyers for New York Stock Exchange member brokerage firms. They bring an insider's perspective and expertise to defense in investigations by the SEC, FINRA and NYSE.
In addition to representing industry professionals, we regularly advise registered representatives on state registration issues. Since brokers must be registered in every state in which their clients reside, our attorneys understand that it is important to resolve any securities regulations issues with state regulatory bodies as quickly and efficiently as possible.
Contact Bachner & Associates About Your Regulation Concerns
It is always more cost-effective to act proactively to prevent investigation and litigation. For sound advice from experienced attorneys, call us at 917-639-5370 or complete our online contact form. We look forward to hearing from you.