Rimon advises broker-dealers regarding the full range of legal and regulatory issues arising in their businesses, including:

• Preparation and negotiation of new member applications with FINRA
• Preparation and implementation of written supervisory procedures and compliance procedures
• Regulatory and transactional advice regarding significant business developments, including changes in the scope of business, acquisitions and divestitures, financings, and international expansion
• Preparation and negotiation of engagement agreements with financial advisory clients
• Assistance with regulatory audits and examinations
• Representation in FINRA and other arbitration proceedings as well as traditional litigation matters
• “Outsourced general counsel” functions, including clearing and custody agreements, account opening forms, prime brokerage agreements, technology licenses, and employment agreements

Rimon’s broker-dealer practice has a special emphasis on representing firms primarily engaged in merger and acquisition advisory and private capital raising services. Our attorneys’ extensive experience as in-house counsel at major investment banks gives us a unique perspective to realize business goals while protecting the client from legal liability. In this regard, we advise clients as to whether the nature of their business activities requires broker-dealer registration.

Rimon Attorneys With Expertise in Broker Dealers Include:

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  Edwin A. Barkel

  Banking and Financial Services, Broker Dealers, Litigation and Alternative Dispute Resolution, Data Privacy and Cybersecurity, Arbitration and Mediation

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  Debbie A. Klis

  Investment Funds, Securities and Capital Markets, Fund Formation, Regulatory, Compliance & Corporate Governance, Special Purpose Acquisition Companies

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  Patrick Maschio

  Insolvency and Restructuring

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  Hilary Wells

  Banking and Financial Services, Broker Dealers, Data Privacy and Cybersecurity, Litigation and Alternative Dispute Resolution