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(717) 566-7676

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