Broker-Dealers and Investment Advisers

QPWB offers services concentrated in financial services law, regulation, compliance, litigation and arbitration.  We represent broker-dealers, investment advisers, registered representatives, securities participants, and insurance firms and their employees in transactions and regulatory developments and investigations prompted by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the U.S. Treasury Department’s Internal Revenue Service (IRS), and state insurance and securities regulators.  The firm has a former securities examiner employed with the Florida Office of Financial Regulation Bureau of Securities.  Our regulatory practice group assists financial services providers with the complex issues that arise in their business, including customer claims, compliance with federal and state laws and rules, administrative hearings, and investigations and enforcement matters.
The firm’s services include:
Formation, Regulation and Compliance

  • Formation of new entities and investments in existing companies
  • Capital raising and funding activities
  • Regulatory capital issues
  • Management oversight and governance
  • Risk management issues and requirements
  • Mergers, acquisitions, and other business combination activities
  • Financial consumer regulation and compliance
  • Wealth/asset management and asset administration activities
  • Conducting or assisting clients to conduct “mock” regulatory examinations and internal compliance audits
  • Prepare or review investment advisers’ registration statements on Form ADV, advisory contracts, codes of ethics, and other compliance procedures
  • Counsel to investment advisers and broker-dealers on regulatory issues, including conflicts of interest and ethics, insider-trading restrictions, and other compliance policies and procedures, personal securities trading, and ERISA
  • Mutual fund suitability, supervision, pricing, and record keeping
  • Operational issues, including prospectus delivery, proxy voting, among others.
  • Research report disclosures
  • Registration and customer complaint reporting issues, including Form U4/U5 filings
  • Trade practices and reporting
  • ERISA, fiduciary, and party-in-interest concerns
  • Arbitration, litigation and enforcement matters (SEC and FINRA) for both regulated entities and licensed individuals

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