Despo Law Group extensive background in securities law offers a full range of services for the business or individuals involved in securities transactions and in the securities industry. The firm counsels’ start-up companies seeking equity and debt financing to the seasoned public company’s reporting and obligations. We have assisted broker-dealers, registered representations, investment advisors and other securities professionals regarding compliance, registration, reporting, SEC and FINRA investigation along with defending enforcement actions.
We have conducted internal investigations on behalf of investment advisors and broker dealers, and appear before the SEC, FINRA and other regulatory bodies. We are also prepared to represent you before the Grand Jury and the U.S. Attorney investigations.
We have experience with derivatives and swaps including SEF registration procedures with the Commodities Futures Trading Commission that include bit coins.
A part of our securities practice deals with securities customer arbitrations in which we appear on behalf of broker-dealers, registered representations, executive and others. Bill Despo is an experienced litigator before FINRA and also serves on FINRA National Panel of Arbitrators. He has also been an arbitrator on the New York Stock Exchange and NASD Panel of Arbitrators.
Some of the areas that we assist clients involved on securities law include:
• Regulation D offerings
• Crowd Funding
• State Registration
• Helping broker-dealers comply with regulatory filing and record keeping requirement
• Assisting with regulatory examinations and audits
• Advising broker-dealers on new rule making and recent regulatory interpretations affecting their business
• FINRA regulatory compliance
• DOL Fiduciary Duty
• Supervision Compliance
• Responding to investigations by the SEC, FINRA and state agencies
• Advising on new developments regarding industry rules and regulations
• Counseling on trading, capital markets, net capital and research issues (both equities and debt)
• Advising on product sales (variable annuities, equity index annuities, mutual fund shares, etc.)
• Advising on employment-related issues such as registered representative hiring and firing
• Advising on disclosure requirements
• Advising on potential conflicts of interests
• Advising on registration requirements, compensation, soft dollars and reporting requirements
• SEC Custody Rule
Derivatives & Swap
• Advising on Dodd Frank compliance
• SEF registration & Market Regulation
Enforcement, Investigations and Litigation
• Defense of investigations and enforcement actions
• Internal Investigations
• White-collar criminal defense