SECURITIES AND INVESTMENT LAW

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SECURITIES AND INVESTMENT LAW

Securities and investment law is complex and often affects individuals, professionals, and businesses in different ways. Working with a lawyer who has significant experience in this area of law is in your best interest. At WERNER LAW GROUP, our attorneys have a proven record of representing clients in business law, tax law, and securities law in both state and federal matters.

We represent small and medium-sized business owners and licensed professionals throughout Pennsylvania and New Jersey. We help manage licensing, compliance, and other securities-related legal needs.

Securities and Investment Law
Pennsylvania and Federal Securities and Investment Law Lawyers

Our business and securities law attorneys handle a wide range of matters, including:

SEC (Securities & Exchange Commission) and state securities registration, licensing, compliance, enforcement, and disclosure
FINRA investigations, complaints, arbitrations, mediations, and enforcement actions
Pennsylvania Department of Banking and Securities (Securities Commission) compliance, licensing, investigations, enforcement, and other matters
Securities Enforcement Actions
Securities, Broker, and Brokerage Licensing and Registration
Legal Opinions and Interpretive letters and memoranda

In addition, we also handle matters involving:

Allegations of Broker misconduct
Arbitrations and Expungement Requests (from the CRD or IARD)
Breach of fiduciary duty claims
Broker Employment or Compensation Disputes
Ponzi Allegations
Allegations of Stockbroker fraud, misconduct, and malpractice
Allegations of Unauthorized trading, switching, twisting, churning, replacement
White collar issues and investigations

Few attorneys are more uniquely qualified to represent you in this area of law than the attorneys of WERNER LAW GROUP