New York Securities Regulation Attorneys
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.
Worldwide Securities Arbitration and Litigation Lawyers
From the Heart of New York City's Financial District
917-639-5370 or toll-free 877-388-6461 or E-mail
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
If you have any further questions pertaining to securities regulation, or if you would like to speak with one of our attorneys regarding another securities matter, contact our Manhattan office. A representative from the firm will be in touch with you shortly. We look forward to hearing from you.
