Financial Regulatory and Compliance Practice

Financial Regulatory and Compliance Law Group Based in Maryland

Broker-dealers and investment advisers are businesses that operate in a heavily-regulated industry.  Their success in executing strategies and achieving business goals often depends on finding experienced counsel who can not only interpret statutes and regulations but also provide practical business advice that empowers decision-makers to understand and weigh regulatory compliance risk.  This enables those decision-makers to apply their limited resources most effectively to mitigate that risk.  Legal counsel also must serve – when necessary – as powerful and aggressive advocates in investigations and in litigations when a firm’s conduct is questioned or challenged by FINRA or SEC staff, while balancing the critical need to maintain productive relationships with regulators and to protect the firm’s public reputation.  We demonstrate our value when we guide clients through the complex intertwining of these challenges. 

The Shulman Rogers attorneys who represent broker-dealers and investment advisers have national reputations.  They bring diverse experience and skills to the table.  One member of our practice served as the Chief Legal Officer for the retail broker-dealer/ investment adviser affiliate of one of the nation’s premier banks.  He and other members of our practice served as senior regulators at FINRA, the SEC, and the CFTC, and as partners in some of the nation’s best-known law firms.  We work collaboratively and efficiently, both internally and with our clients.  We counsel on compliance issues before they become investigative issues.  We have forged strong relationships of mutual respect and trust with the regulators.  Our investigation and litigation defense strategies are integrated with our clients’ business strategies.  We are also part of a well-established, 100-attorney law firm with practices that include corporate transactions, commercial litigation, employment, real estate, intellectual property, immigration, and other legal areas that broker-dealers, advisers and their associated individuals must address from time-to-time.

We Have Made a Strategic Decision to Concentrate on Issues That Concern Broker-Dealers and Investment Advisers That Service Retail Customers. Our Clients Include:

• National and international broker-dealers and investment advisers with substantial retail client operations.
• Regional broker-dealers and investment advisers
• Broker-dealers and investment advisers affiliated with insurance companies
• Broker-dealers and investment advisers affiliated with banks
• Broker-dealers that provide platforms for independent financial advisers

Our economic model enables us to offer our national caliber expertise at a very cost-efficient fee structure.  We are committed to delivering exceptional, business focused representation at rational rates.  We have represented well-known broker-dealers and investment advisers in many important matters.  And we have done so in a thoughtful, nuanced way that meets client objectives.