Securities Law & Litigation

Bahn Herzfeld & Multer provides a full range of services to both industry professionals and individual investors as part of its securities practice, including regulatory compliance, transactional matters, regulatory and investor complaints, arbitration and litigation.

REGULATORY COMPLIANCE.

Regulatory Compliance is one of the primary areas of focus of the Securities Exchange Commission (SEC), FINRA, the NYSE and other SRO’s in the oversight of broker dealers.
Given the ever increasing importance of anticipating and addressing regulatory compliance issues, Richard L. Herzfeld, a senior partner of the firm, provides a full range of compliance services to many NYSE, FINRA, CBOE and other broker dealers, investment advisors and hedge funds. Services include

Preparation and update of written supervisory procedures

Mandatory anti-money laundering (AML) audits and reports

Assistance with responses to FINRA examinations

Assistance in responding to regulatory inquiries

Defense of regulatory complaints

Membership Applications and 1017 Filings

TRANSACTIONAL MATTERS

For transactional matters in the securities field, the firm provides legal assistance to clients in the following areas:

Preparation and implementation of private placement offerings.

Representation of clients involved in the sale and acquisition of businesses

Contract negotiation, analysis and drafting

INVESTOR COMPLAINTS

The Firm represents investors in claims against stockbrokers for securities fraud, churning, breach of fiduciary duty or unsuitability.
The Firm also represents broker dealers and registered representatives in defense of these claims.

555 Fifth Avenue, 14th Floor
New York, NY 10017
Phone: (212) 818-9019
Fax: (212) 986-5316

Bahn, Herzfeld & Multer, LLP, Attorneys at Law - New York Law Firm

Securities Law & Litigation