Stagg Wabnik Law Group’s securities practice group provides a full range of pre-suit and litigation services to its clients, representing national financial services firms, banks, broker-dealers, and hedge funds.
We are especially adept at providing insightful advice and assistance in responding to Financial Industry Regulatory Authority (FINRA) enforcement inquiries and actions.
Securities and FINRA Matters
Hedge Fund and Broker-Dealer Representation
Securities issues often arise with employment, employment agreements, and termination issues. Stagg Wabnik Law Group represents firms and individuals navigating employment disputes and issues in the securities industry. Our firm is adept at addressing such issues and utilizes the considerable experience of our Labor and Employment practice group in such situations. By employing the resources of both our securities and labor and employment practice groups, we are better suited to address employment-related claims within a securities and financial industry setting.
Investment Banking Related Representation
Feel free to contact us to schedule a complimentary consultation about your FINRA, SEC, or regulatory matter.
Financial Industry Regulatory Authority (FINRA), Brokerage and Financial Advisory Services Representation
Our clients include large entities, such as JPMorgan Chase Bank and TD Ameritrade, as well as smaller companies, brokers, and individuals. We help clients evaluate factual defenses; prepare required written statements in response to inquiries and allegations; analyze FINRA guidelines and FINRA and Securities and Exchange Commission (SEC) decisions to advance legal defenses; prepare clients for FINRA On The Record (OTR) interviews and appear as counsel; answer and defend against disciplinary complaints; negotiate settlements through a Letter of Acceptance, Waiver and Consent; and litigate FINRA disciplinary hearings.
We have experience helping brokers and financial advisors navigate the FINRA Rule 8210 Enforcement process. Stagg Wabnik Law Group has extensive experience with claims of churning, unsuitability, breach of fiduciary duty, fraud, elder abuse, and statutory violations under the Investment Advisor Act and knows your customer rules. When faced with investigations to determine whether a violation of federal securities laws or FINRA, National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE) or Municipal Securities Rulemaking Board (MSRB) rules have occurred, we seek to prevent an inquiry, Cautionary Action letter or a Request for Information from evolving into a formal investigation or disciplinary action.