McGlinchey Stafford’s attorneys counsel issuers in connection with private equity financings and other securities law matters.
We represent individuals and financial institutions before the SEC and various self-regulatory organizations (SROs).
Experienced in a wide range of securities regulatory compliance issues and transactions, our attorneys advise on:
- Customer Disputes
- Disciplinary Actions
- Industry Disputes
- Mergers and Acquisitions
When litigation and contentious disputes arise, our attorneys protect clients’ positions and interests before regulatory bodies, during arbitration and in court. Our attorneys successfully defend prominent brokerage firms facing allegations concerning suitability, trade secret appropriation and employee raiding.