for brokers-dealers and RIA’s
There’s no shortage of issues facing those in the broker-dealer and registered investment advisor industry today. Vandenack Weaver’s expertise helps you stay on top of them all. We counsel broker-dealers on issues that arise in dealing with clients, the public, investment advisers, hedge funds, mutual funds, and banks. Our attorney team will help you stay in front of the myriad of issues facing the broker-dealer and registered investment advisor industry today and be there to maximize outcomes in the increasingly complex environment of regulatory issues and litigation. In addition to providing regulatory and compliance advice, we also assist clients in preparing for and responding to Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA,) and stock exchange document requests, examinations, inquiries, and enforcement proceedings. Key areas in which Vandenack Weaver assists broker-dealers and RIAs include:
- General business entity formation
- Ongoing state and federal regulatory compliance and advice
- Due diligence review and opinions on security offerings
- FINRA compliance and review
- Licensing Issues
- Representation in agency regulatory actions and litigation
- Representation in preparation of mediation or mandatory arbitration before FINRA, SEC and state securities regulation commissions
- Counsel on implementation and transition to the Fiduciary Rule standard
Worry less, work more.
For questions complex and routine, we’re the ones to call.
Wondering how to best resolve an existing legal or business issue? Want advice on how to best avoid them in the future? Vandenack Weaver is your answer. Our expertise will make the most of your situation (and time and money). Just give us a call at 402.504.1300 or email us today. We’ll set up a time to talk about the challenges (and opportunities) in front of you. No pressure or commitment.
