Financial professionals work and operate in one of the most complex regulatory environments in the world. One of our founding partners is a former senior enforcement counsel at FINRA (then known as the NASD) and the Securities & Exchange Commission (SEC). This unique experience provides a specialized expertise for advising professionals in the financial services who are faced with regulatory issues, private litigation or other potentially significant legal problems in the financial services arena, as well as employment issues.
 

Our experience includes handling literally hundreds of matters involving securities regulators and financial service professionals in the regulatory arena and in arbitrations and mediations. We assist clients in responding to regulatory inquiries from federal and states securities and commodities regulators and self-regulatory organization such as FINRA. Depending on the circumstances, we will assist you in crafting an optimal settlement or, if this is not possible, we will vigorously and aggressively defend you.

We also assist financial advisors who are transitioning firms. This process can be unsettling when attempting to navigate the regulatory, contractual and employment issues unique to this process. We are uniquely experienced in assisting financial professionals to successfully navigate these troubling waters.

 


Sample Representative Clients and Matters:

 

  • Successful representation of hundreds of persons who have been the subject of investigations and/or litigation variously by FINRA, the SEC and various other federal and state regulators.

  • Representation of individual brokers and investment advisers in connection with employment disputes against large wire houses.

  • Successfully defended financial advisors threatened by temporary restraining orders.

  • Represented claimants and respondents in FINRA arbitration regarding suitability, churning, and failure to supervise issues.

 

  • Successful defense of a broker-dealer, principal and financial advisor in a matter that involved allegations of various violations of securities regulations.

 

  • Successful defense of a hedge fund in a matter that involved allegations of various violations of securities regulations.
     

  • The successful defense of a broker-dealer in a matter that involved allegations of failure to supervise.

 

  • Representation of university against large financial institution in connection with complex financing transactions resulting in optimal outcome for the university.

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