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The firm’s securities practice serves both industry professionals and individual investors, including regulatory compliance, transactional matters, regulatory and investor complaints, arbitration and litigation.

The firm of Richard L. Herzfeld PC provides a full range of services to both industry professionals and individual investors as part of its securities practice, including regulatory compliance, transactional matters, regulatory and investor complaints, arbitration and litigation.

Regulatory Compliance

Regulatory Compliance is one of the primary areas of focus of the Securities Exchange Commission (SEC), FINRA, the NYSE and other SRO’s in the oversight of broker dealers.

Given the ever increasing importance of anticipating and addressing regulatory compliance issues, Richard L. Herzfeld provides a full range of compliance services to many NYSE, FINRA, CBOE and other broker dealers, investment advisors and hedge funds.

Transactional Matters

For transactional matters in the securities field, the firm provides legal assistance to clients in the following areas:

Investor Complaints

The Firm represents investors in claims against stockbrokers for securities fraud, churning, breach of fiduciary duty or unsuitability.

The Firm also represents broker dealers and registered representatives in defense of these claims.

Location

Richard L. Herzfeld, P.C.
112 Madison Avenue
8th Floor
New York, NY 10016

Get directions from Google Maps

Contact

Tel: 212.818.9019
Fax: 212.391.9025

Disclaimer

The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation.