Philadelphia SEC Broker Licensing Lawyer

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.

Mr. Dennis Abramson is one of the best lawyers in his expertise. I had a chance to consult with him in regards to a personal matter related to residency program and he went out of his way to help me and my wife. His advice was godsent and my family are lucky to have been connected to him. I highly advice anyone out there with problems related to this firm's expertise to contact Mr. Dennis Abramson and get consultation and work with their law firm. You will not be disappointed. Thank you so much for everything. — HG

Dennis is an excellent attorney. He was very responsive and I really appreciated his insight and knowledge. Highly recommend him for future potential clients. — JDH

Dennis is knowledgeable, responsive, patient, accessible, a great listener and explains things in a way that is easy to understand. He's also very easy to talk to. Highly recommend! — CR

They took the time to quickly assess my case and provide insightful information and strategy for my case. — LL

Abramson Law Firm has represented my company for 15 years in all aspects of contractual law. Dennis gets it. He finds creative ways to negotiate our needs and we have always come out on top. He has been able to settle 99% of our disputes and has exceeded our financial expectations in both lower payouts and/or higher receipts time after time. For Medical Products Laboratories, Inc as well as my personal needs there is no one better or that we would trust more than Dennis. — SS

Dennis and the Abramson Firm have been an integral part of my business for the last decade. He has successfully and professionally guided me through a number of challenges over the years. He is, and always will be, my first call in a time of need. — PG

I had the privilege of talking with Dennis for NBME/NRMP advice. He is extremely responsive and will explain things in a way that is easy to understand and make sense. I chose to contact him to reduce my risk and would definitely contact him again if I was in a bind! — AVVO review

I consulted with Dennis regarding an NRMP dispute about a match violation. He spent a significant amount of time talking me through the possible options, expected outcomes, and plans for handling complications. While I fortunately ultimately did not need to formally hire him for his services, I am incredibly grateful for his counsel and knowledge. I was sure that he would be in the best position to help me for this problem. — AVVO review

I contacted Mr Dennis regarding an ECFMG issue, he was very friendly and gave me a great advice. He didn’t charge for the consultation even it took a lot of his time. — AVVO review

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