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Broker-Dealer & Investment Adviser Disputes
Broker-Dealer & Investment Adviser Disputes

Lawrence Kamin’s attorneys have achieved notable success advising and representing broker-dealers, registered investment advisers, clearing firms, proprietary trading firms, and other financial professionals in industry disputes and disputes involving the purchase and sale of securities or the rendering of investment advice.

Our litigators have successfully defended claims brought by retail customers…

Outside Business Activity*, Practical Compliance and Risk Management for the Securities Industry

The Financial Industry Regulatory Authority (“FINRA”)1 has adopted and proposed important changes to the current regulatory scheme and obligations relating to notice and supervision of outside business activities and private securities transactions. For a number of years, the National Association of Securities Dealers, Inc. (“NASD”) rules 3030, 3040 and 3050 were the principal…

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† Select attorneys have received this recognition
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