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Return to Areas of Practice
SECURITIES REGULATION &
LITIGATION
The firm represents broker-dealers and associated persons in defending
enforcement actions brought by the SEC, the CFTC, the NASD, the NYSE,
the N.J. Bureau of Securities, the New York State Attorney General's Office
and other state agencies. We also defend broker-dealers and associated
persons in federal and state grand jury investigations involving securities
fraud and other possible violations of criminal law. We have also been
retained to conduct internal investigations into broker-dealers and publicly
traded corporations.
Our attorneys are also experienced in all facets of securities arbitration
and securities litigation matters. We have represented broker-dealers
and associated persons in both arbitration and civil litigation in New
Jersey and New York courts and before the NASD and NYSE. We also represent
broker-dealers, individuals, investment advisors, hedge funds in disputes
arising from trading and underwriting activities.
Additionally, our attorneys have represented broker-dealers and associated
persons who are seeking entry into the securities industry. Our attorneys
are involved in the creation, purchase and sale of broker-dealers, investment
advisors and hedge funds. We also assist in all aspects of the development
of these entities from the establishment of holding companies, corporations,
limited liability companies and LLPs. Our practice includes advising these
entities through various phases of business formation process or through
the registration and the pre-membership interview process of the NASD.
We also provide services to broker-dealers in NASD/NYSE quotation/listing
matters.
We also provide a cost conscious adjunct to broker-dealer internal compliance
programs. We have conducted numerous audits of broker-dealers, investment
advisors and hedge funds. We also deliver speeches and lectures to brokers
as part of the NASD's continuing education program firm element portion,
as well as creating or revising such programs for broker-dealers.
Saiber attorneys practicing in this area include:
One Gateway Center 13th
Floor Newark New Jersey
07102-5311
Voice: 973.622.3333 Fax: 973.622.3349
Email: info@saiber.com
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