The most vital component of securities law is preventing minor legal issues from growing into major problems. To this end, Koehler Fitzgerald LLC regularly serves as counsel for issuers, broker-dealers, and state and federally registered investment advisers in a wide array of regulatory matters. We help our clients deal with registrations, periodic filings and enforcement matters.

Compliance Services For Hedge Funds And Broker-Dealers

Our regulatory practice assists issuers (and their officers and directors), broker-dealers, registered representatives, hedge funds, mutual funds, other asset managers and investors in compliance inquiries involving:

  • The Securities and Exchange Commission (SEC)
  • The Financial Industry Regulatory Authority (FINRA/NASD)
  • The New York Stock Exchange (NYSE) and other exchanges
  • State securities authorities
  • The U.S. Department of Justice
  • State attorneys general
  • Other banking regulators

Preventing And Protecting Against Securities Fraud

The objective is always to prevent expensive litigation by initiating corrective reviews, timely filings with regulatory authorities and controls to ensure that a firm is in regulatory compliance. We are experienced in filings under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940. We assist in internal investigations and compliance reviews for broker-dealers and investment advisers.

For client protection, we also develop anti-money laundering and internal control policies and procedures relating to securities compliance, insider trading, conflicts of interest and accounting fraud management.

When investigations occur or clients file claims against you, we will step in to defend you in litigation.

Speak With Our Attorneys About Your Securities Issue

Contact Koehler Fitzgerald LLC at 216-539-7714 or toll free 800-391-5127, or contact our lawyers using this online form.