Broker-Dealer Representation

Broker-Dealer Representation

Running a securities brokerage firm or investment bank is complicated, and not all firms have the size and breadth to warrant hiring full-time in-house counsel. And that’s where a firm like Hutner Klarish comes in. We have for many years handled the kinds of issues that broker-dealers regularly confront, and have the industry background and knowledge to “speak the client’s language” and know how to handle virtually anything that can arise. We have become intimately familiar with the legal, regulatory and business issues that such firms and their personnel frequently face. From sales practice issues, trading issues, labor/management issues, net capital issues, and more, we pride ourselves on being able to spot and resolve the issues, anticipate what’s around the next corner, and work with regulators to resolve any problems that arise.

Our Services

Hutner Klarish provides its broker-dealer clients with the services that they need, whenever they need them, including the following:

  • FINRA registration matters, including Form U4 and Form U5 issues
  • State licensing applications or proceedings
  • Regulatory exams and audits
  • Regulatory inquires and investigations (SEC and FINRA), both large and small
  • Contracts with employees and vendors
  • Serve as placement agent counsel in connection with Regulation D private placements
  • Customer disputes
  • Day-to-day matters that routinely arise in the brokerage industry

The securities business is one we well understand, and know we deliver knowledgeable, experienced and talented counsel that is cost efficient and invaluable to clients who operate in this space. As a firm’s general outside counsel, there is no overhead and no downtime: you pay for your lawyers when you need them, or have us available anytime on a fixed monthly retainer basis.