Bradley’s Banking & Financial Services Team is pleased to announce a new blog series led by its Broker-Dealer and Investment Advisor Team. The series will focus on issues critical to assisting financial institutions and service providers in maintaining compliance, protecting their operations and developing their businesses while minimizing risk.
Bradley’s Broker-Dealer & Investment Advisor Team is led by Dylan Black, Jeffrey Blackwood and Brian O’Neill and is comprised of team members with extensive experience assisting financial institutions with issues involving litigation, regulatory compliance and enforcement, including matters involving the SEC, FINRA, and DOJ. In addition, a number of Team members have experience working within the SEC, FINRA, DOJ, and with various exchanges, in addition to experience as in-house counsel for major financial institutions.
“We are pleased to offer this resource to our clients as part of our interdisciplinary, client-focused approach to navigating the ever-changing regulatory environment,” said Mr. Black. “Our seasoned team of attorneys has a deep understanding of the complex, high-stakes securities industry, which we look forward to sharing with our clients through this new initiative.”
Bradley’s Broker-Dealer and Investment Adviser Team counsels broker-dealers, investment advisers, market-making firms, proprietary trading firms, exchanges, hedge funds, banks and asset managers at some of the largest financial institutions in the country. Services include:
- Legal and regulatory interpretation related to mergers and acquisitions, joint ventures, debt financing, fund formation, and other specialized transactions for compliance with securities rules and regulations
- Compliance programs, including designing, reviewing, and monitoring policies and procedures for compliance with exchange trading rules, federal rules, and other regulatory rules, and conducting mock audits and gap analysis
- Inquiries and investigations to resolve and limit financial, operational and reputational damage, as well as defending clients against civil and criminal claims related to fraud, suitability, negligence, trading errors, selling away, breach of contract, trade secrets, sales practice violations, accounting irregularities, money laundering, insider trading, FCPA violations, and corporate raiding
Visit Bradley’s Broker-Dealer and Investment Adviser page at bradley.com.