Securities

COUNSELING AND COMPLIANCE

JORDEN BURT's business and regulatory lawyers have extensive experience with every aspect of the securities industry and are intimately familiar with the business practices and objectives of market professionals. The Firm's securities specialists, which include former compliance and enforcement officials of the SEC, are nationally recognized leaders in securities law and regulatory and compliance issues, and have been retained by members of the industry as SEC and FINRA-approved consultants in satisfaction of requirements imposed by regulators in the settlement of government and SRO enforcement actions. Additionally, as a leading national boutique representing the financial services industry, JORDEN BURT is uniquely qualified to counsel those offering financial products as part of their portfolio of products and services.

JORDEN BURT provides ongoing regulatory, compliance, and transactional legal services related to all aspects of the financial services industry. The Firm has extensive experience in the formation of broker-dealers and other financial services groups and has guided clients through every phase of the formation and regulatory approval process, including entity formation, application process, securing FINRA approval, handling interviews, supervisory procedures, and preparing all necessary documentation. JORDEN BURT also provides a full service regulatory and compliance counseling practice concerning various issues and requirements relating to supervision and supervisory procedures, books and recordkeeping, CRD reporting, cash and non-cash compensation rules, correspondence and e-business issues, privacy rules, OFAC compliance and regulation, currency transaction reporting requirements, order handling, marketing, sales, advertising and sales literature, suitability, trading rules, hot-issue rules, net capital, customer reserve requirements, and fidelity bonds.

JORDEN BURT also routinely assists financial services organizations in evaluating anti-money laundering compliance (AML) issues and counsels on the design and implementation of AML compliance programs and procedures. The Firm advises clients on their responsibilities related to customer identification, suspicious activity monitoring and reporting, currency transaction reporting, and recordkeeping. The firm has counseled numerous clients with respect to delegation of AML compliance responsibilities and prepared related agreements.

LITIGATION

Well known for the strength of its national litigation practice in the financial services arena, JORDEN BURT is a leader in securities and financial product litigation. The Firm's litigators are experienced advocates in every aspect of securities and corporate governance litigation, from regulatory inquiries and pre-complaint investigations, to litigating claims of federal securities fraud. The Firm routinely defends financial services organizations, including their officers and directors, against class action litigation, shareholder derivative actions, proxy suits, appraisal actions, suits arising out of failed securities offerings, and other complex litigation across the country involving claims asserted under the Securities Act of 1933, Securities Exchange Act of 1934, and the Investment Company Act of 1940.

JORDEN BURT has extensive experience representing and guiding corporate defendants, broker-dealers, and other market professionals through internal investigations, inquiries, and proceedings initiated by the SEC. The Firm handles all phases of SEC inquiries and investigations from responding to Wells notices to defending against enforcement actions related to such issues such as market manipulation, insider trading, and claims of other financial fraud.

The Firm routinely represents registered broker-dealers, investment advisors, and other professionals in regulatory proceedings and arbitrations involving FINRA, and provides experienced representation designed to limit the financial, reputational, and licensing exposure.