Services

Advising Registered Representatives and Principals

The financial services sector is one of the most heavily regulated industries in the United States. To successfully operate and grow your business, you need to establish order and avoid the penalties and fines that can occur as a result of poor planning and inadequate procedures. Building the trust of your clients can take years, but that trust can be wiped away in a moment.

As a registered representative, investment advisor, or principal of a financial firm, you should, therefore, seek a law firm with a strong background in securities regulation, enforcement, and litigation to represent you in critical legal matters.

The attorneys at Scarinci Hollenbeck, LLC have been advising registered representatives, investment advisors, and principals for over fifty years. Our founder, Christopher Warren, was a successful participant in the financial services industry before he became an attorney and started representing financial services professionals.

With our combined financial industry experience, Scarinci Hollenbeck, LLC provides invaluable expertise and advice to financial services professionals and firms. Our skilled lawyers represent clients in the defense of operational, compliance, trading, and sales matters, as well as the defense of enforcement proceedings by the SEC, CFTC, state securities regulators, and FINRA. We also handle:

  • Form U4 and U5 filings
  • State “Blue Sky” registrations and investigations
  • FINRA arbitrations, enforcement actions, investigations, and expungements
  • Court proceedings for breach of contract actions and restrictive covenants
  • Regulatory investigations by the SEC, CFTC, FINRA, and the U.S. Treasury Dept., including subpoenas and Wells Notices
  • FINRA enforcement proceedings such as information requests including Rule 8210 responses, on-the-record (OTR) testimony, and Acceptance Waiver and Consent (AWC) negotiations

Scarinci Hollenbeck, LLC’s attorneys have represented financial services professionals and principals in hundreds of proceedings in federal and state courts, SEC and FINRA enforcement matters, and FINRA arbitrations. With our guidance, you can start your operations without delay, avoid costly penalties, and position your financial services firm for long-term success.