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 have known Dennis Abramson as an attorney of the highest quality and regard for over 10 years. During this time I have referred him dozens of matters and each one has been met with great success. He is consistently able to achieve results for his clients that many other attorneys are unable to obtain. In addition, he provides a personal touch that is rarely seen in lawyers today. When making a referral I firmly believe that it is a reflection of me and my judge of character and ability. For this reason Dennis is always at the top of my list. In short, Dennis makes me look good by doing right by my clients. I cannot make a stronger endorsement. " — Jonathan G.

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