Securities Practice

The D'Ambrosio Brown LLP Securities Practice Group has extensive experience in securities litigation, regulatory compliance, and regulatory affairs. We represent hedge funds, private equity firms, broker-dealers and investment advisers, and associated persons in all aspects of their regulated activities. The Securities Practice Group is staffed with attorneys that have experience at major international law firms, regulatory agencies, and broker-dealers.

The Securities Practice Group regularly litigates customer complaints and arbitrations before industry arbitration panels and courts nationally. We also regularly represent firms and registered personnel in state, FINRA, and SEC enforcement actions. 

Representative Matters:

  • Selling away
  • Unsuitable investment recommendations
  • Unauthorized trading/churning
  • Market timing
  • Bond markups and markdowns
  • Complex investment product sales practices
  • Receipt/deposit of client funds and securities.

The Securities Practice Group also regularly advises clients in compliance and regulatory matters including SRO, state and SEC registration and membership, withdrawal of registered entities, Form BD and Form U-4 reporting requirements, CCO certifications, drafting/revising compliance procedures, and new investment product due diligence.

Representative Services:

  • Formulate written supervisory procedures, compliance manuals, and field manuals
  • Respond to and manage regulatory inquiries
  • Present training seminars to firm personnel on industry rule changes, internal policies, and regulatory trends
  • Conduct attorney-client privileged internal reviews in advance of regulatory audits; and investigate emergent risks including rogue brokers or breaches of internal controls.