Broker-Dealers and Investment Advisors

GDCR's Broker-Dealers and Investment Advisors group have extensive experience in advising and representing broker-dealers and investment advisors, including registration and formation of investment advisors, investment advisor compliance issues, regulatory and enforcement matters and arbitrations. Our lawyers provide timely and effective solutions through a team approach.

Our litigators regularly represent broker-dealers and investment advisors in a variety of regulatory investigations and enforcement actions, including matters before or against the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulators. Members of this industry group have extensive experience in advising and representing broker-dealers and investment advisors on non-solicitation, non-competition, and raiding issues. We have extensive experience with injunctive issues arising out of the hiring of advisors on a nation-wide basis and regarding raiding claims. We have represented some of the largest broker-dealers and hundreds of advisors.

Finally, we have successfully represented broker-dealers and investment advisors as business counsel and have extensive experience with mergers and acquisitions within the industry.