SEC Broker Licensing

Registration and licensing by the U.S. Securities and Exchange Commission (SEC) is mandatory for brokers and broker-dealers, and the process can be extraordinarily complex and subject to frequent changes, updates, and disciplinary proceedings. To help clients avoid pitfalls, we provide comprehensive advice and counsel, including reviewing registration application requirements and assisting in submitting forms to the Central Registration Depository (CRD; operated by FINRA). For clients facing inquiries and investigations that threaten their ability to sell insurance and securities products and pursue related business opportunities we provide effective representation in all appropriate forums, including FINRA arbitration, before administrative panels, before administrative law judges, and in federal court.

" I endorse this lawyer enthusiastically. I have worked with Dennis any number of times, including employing him as my own counsel in a number of matters, and always successfully!! " — Robert B.

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