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| Business Litigation |
| Securities Practice |
| Real Estate Development |
| Municipal Tax Title Recovery |
| Employment Law |
| Personal Injury |
| Criminal Defense |
| Goverment Relations and Licensing |
| Insurance |
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Securities Practice
The D'Ambrosio LLP Securities Practice Group has extensive experience in securities litigation, regulatory compliance, and trade reporting. We represent hedge funds, private equity firms, broker-dealers and investment advisers in all aspects of their regulated activities. The Securities Practice Group is staffed with attorneys that have experience at major international law firms, regulatory agencies, and broker-dealers.
The Securities Practice Group regularly litigates customer complaints and arbitrations before industry arbitration panels and courts nationally. We also regularly represent firms and registered personnel in state, FINRA, and SEC enforcement actions.
Representative Matters:
- Selling away;
- Unsuitable investment recommendations;
- Unauthorized trading/churning;
- Market timing;
- Bond markups and markdowns;
- Collateralized Mortgage Obligation sales practices;
- Receipt/deposit of client funds and securities.
The Securities Practice Group also regularly advises clients in compliance and regulatory matters including SRO, state and SEC registration and membership, withdrawal of registered entities, Form BD and Form U-4 reporting requirements, CCO certifications, drafting/revising compliance procedures, and new investment product due diligence.
Representative Services:
- Formulate written supervisory procedures, compliance manuals, and field manuals;
- Formulate field memoranda and internal policy statements;
- Present training seminars to firm personnel on such topics as trade review and approval and correspondence review; and
- Conduct attorney-client privileged internal reviews in advance of regulatory audits.
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