Securities Law Compliance And Defense

Salon Marrow has provided effective legal counsel to businesses and high net worth individuals in New York for over 65 years. We offer comprehensive legal plans for businesses, from employment law to securities defense. Our experienced securities law attorneys assist in federal and state securities law compliance for clients whose securities are publicly traded and listed on an exchange or on NASDAQ. We help mitigate future disputes through compliance, as well as handle any current disputes you may be facing.

You can reduce the possibility of costly litigation through industry compliance. We will ensure that you are compliant with the Financial Industry Regulatory Authority, the National Association of Securities Dealers and the Securities and Exchange Commission. We do everything in our power to help you prevent litigation, but some disputes are unavoidable.

It is our goal to settle disagreements through alternative dispute resolution methods first. If we are unable to settle matters outside of the courtroom, then our skilled trial attorneys are available to advocate on your behalf. We will establish advanced legal strategies to protect your assets and your reputation, with the goal in mind to reduce the stress and cost of legal disputes.

Our Scope Of Securities Law Services

We represent a wide range of security industry companies, including brokerage firms. We participate in private, public and venture capital offerings where we have represented issues and underwriters, proxy contests and going-private transactions. We also represent institutional purchasers in private placement markets and advise issues and broker-dealer firms in proceedings. Proceedings include:

  • State and federal regulatory agencies
  • Mutual funds and investment funds
  • Commodities
  • Trading advisors in regulatory compliance matters

Schedule A Consultation To Discuss Your Legal Needs

Salon Marrow has supported the legal needs of businesses in the New York Metro since 1947. Our experienced securities lawyers understand the intricacies of compliance and can help protect your interests through legal disputes. Schedule a consultation to discuss your legal needs today. Call our office in New York City, at 888-317-8676, or fill out our online contact form.