SECURITIES LAW

Our securities practice involves the representation of broker-dealers, hedge funds, individual registered representatives and other business organizations. We provide broker-dealers and individual registered representatives with advice as to compliance with regulatory requirements, and also represent them in dealings with the Securities and Exchange Commission, state securities administrators, the New York Stock Exchange, FINRA and other regulatory authorities. We have assisted our broker-dealer clients in their preparation for regulatory examinations, and our personnel have lectured to broker-dealer employees on compliance and ethical matters in partial fulfillment of the securities industry’s Continuing Education requirements. Included among our clients is a trade organization of broker/dealers and securities registered representatives whose members we represent in customer arbitrations and regulatory matters.

We also provide services in hedge fund formation, venture capital transactions, private placements and public offerings. Our broker-dealer clients range from small, specialized operations to mid-sized and large full service firms. For our investment banking clients we provide a full range of services including drafting offering memoranda, SEC disclosure statements and various compliance initiatives.

Our attorneys bring to the table a deep level of subject matter knowledge and professional experience in investigating and building complex financial cases. Unlike many other firms, our expert knowledge enables us to do all of our forensic financial investigations and analysis in house. Because of our first-hand knowledge of the internal compliance mechanisms of major broker-dealers, our experience with risks and trading mechanics of a variety of securities, and problems that confront parties on both sides of every securities conflict, BWH offers its clients an unparalleled competitive advantage over their adversaries.