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