Rothgerber Johnson & Lyons' attorneys represent a wide variety of securities industry clients including major wirehouse firms, independent contractor firms, state and federal registered investment advisers, investment companies, hedge funds, private equity funds, financial planners, money managers and individual representatives. We are also actively involved in assisting banks and other financial institutions, broker-dealers, investment advisers and insurance companies in understanding and taking advantage of new financial services modernization opportunities.
Several of our attorneys have practical experience gained from prior careers with securities brokerage firms, investment banking firms and regulatory authorities. Our attorneys are asked to speak and make presentations on various legal issues affecting the securities and financial services industries. Our attorneys are active members of the securities bar and various industry organizations, including the Securities Industry and Financial Markets Association Compliance and Legal Division.
Our attorneys have represented investment advisers, broker-dealers and their officers and representatives regarding compliance with the broad array of statutory and regulatory requirements. We regularly advise broker-dealer clients in regulatory matters including registration and licensing, SEC, state and SRO investigations and enforcement actions involving sales practice and supervision issues, and the adequacy of internal systems and procedures.
Our attorneys have counseled start-up investment advisers and broker dealers through the registration process, and have assisted more mature firms with their day to day operational and compliance issues.
We have attorneys with expertise in the following areas:
- Broker-Dealer and Agent Registration and Licensing
- Clearing Firm and Back Office
- Deficiency Letters
- Electronic Brokerage
- Enforcement Actions
- Hedge Funds
- Investment Company Registration and Regulation
- Internal Systems and Procedures
- Management Issues
- Municipal Finance
- Noncompetition Agreements
- Policies and Procedures
- Privacy
- Raiding and Recruitment
- Sarbanes-Oxley Compliance
- State and Federal Registered Investment Advisors
- State, Federal, and SRO Regulatory Compliance
- State, Federal, and SRO Regulatory Defense
- Tax Issues
- Termination Issues
ARTICLES AND ALERTS
RJ&L Investment Adviser Advisory - New Form ADV Part 2 (08/09/2010 )
RJ&L Investment Adviser Advisory (08/03/2010 )
Variable Annuities: New Rule Coming! (03/01/2007 )
Expungement: Don't Let the Tail Wag the Dog (09/01/2006 )