Financial Services and Regulatory Law

Areas of Financial Services and Regulatory Law Expertise

• Broker-dealer employment counsel and litigtion
• Securities industry regulatory proceedings
• Compliance with securities rules and regulations
• Responding to regulatory inquiries
• Forensic investigations of alleged violations of securities rules or regulations

Freeman, Freeman, Smiley's Litigation Department has professionals with Financial Services and Regulatory Law expertise. These lawyers provide clients with highly specialized legal and consulting services to enable them to deal effectively with the complexities of the regulatory landscape. We are nationally-recognized for representing securities professionals (financial consultants, branch office manager and regional managers) in broker-dealer employment counsel and litigation, and in regulatory proceedings within the securities industry. Freeman, Freeman, Smiley consults with clients to assist them in complying with securities rules and regulations, implementing preventative or corrective measures as appropriate, and responding to regulatory inquiries by the SEC, FINRA and other regulators. To root out problems and prevent or mitigate regulatory action, our professionals conduct forensic investigations to determine whether violations of securities rules or regulations occurred before the regulators arrive.

The Financial Services and Regulatory Law practice handle all securities enforcement matters before federal, state and administrative tribunals, such as the SEC and FINRA. Working together, we handle all aspects of dispute resolution, including the defense and prosecution of clients' claims in arbitration proceedings and in state and federal court.

Freeman, Freeman, Smiley's Financial Services and Regulatory Law lawyers are always writing articles, making speeches, and sharing their knowledge with the public and professionals. We regularly publish bulletins about important changes in the law. Visit Freeman, Freeman, Smiley's Our News & Events for a PDF version of recent bulletins that may offer beneficial advice.

New and Continuing Developments in the SEC's Examination and Enforcement Programs (With FINRA Follow (182 KB)

Today's Regulatory and Economic Environment Requires Firms to Take a Closer Look at the Overall Effi (91 KB)

As a resource to securities industry participants, we periodically publish a Securities Newsletter that keeps the reader informed of important industry developments. To receive a complimentary subscription to the newsletter, please email Sylvia Scott, Editor, at sms@ffslaw.com.

Attorneys

Michael Blumenfeld - Partner

Russell R Fisk - Associate

Robert J Girard II - Partner

Sylvia M Scott - Partner