Securities Regulation & Litigation
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.
- Preparation and update of written supervisory procedures
- Mandatory anti-money laundering (AML) procedures, audits and reports
- SEC/NYSE/FINRA Regulatory Proceedings
- Assistance with responses to FINRA examinations
- Assistance in responding to regulatory inquiries
- Defense of regulatory complaints
- Membership Applications and 1017 Filings
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.
- We represent broker dealers in their formation and regulatory approval as well as for SEC, NYSE, CBOE and FINRA compliance matters.
- We handle the preparation of written supervisory procedures for broker dealers, an increasingly scrutinized area by regulators.
- We provide anti-money laundering (AML) procedures and audits, another area of significant regulatory oversight.
Transactional Matters
For transactional matters in the securities field, the firm provides legal assistance to clients in the following areas:
- Preparation and implementation of private placement offerings.
- Representation of clients involved in the sale and acquisition of businesses
- Contract negotiation, analysis and drafting
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.
Contact
- Tel: 212.818.9019
- Fax: 212.391.9025