Quality Representation for Brokers and Brokerage Firms in Regulatory Matters

We handle a host of licensing, regulatory and other general service matters, including:

  • Brokerage compliance
  • CRD/registration issues
  • Compliance procedures: development and review
  • Written supervisory procedures (WSP)
  • FINRA applications and licensing
  • FINRA Registration/Regulator hearings
  • Regulatory complaints

For brokerage and brokerage firm related legal issues, entrust your case to a skilled Tampa stock broker representation lawyer. Our attorneys have experience in a host of business and regulatory matters. We can help ensure your business policies comply with state and federal regulations and discuss your options in the event you have a dispute.

FINRA Applications and Licensing

Our Tampa stock broker representation lawyers understand the intricate rules and regulations imposed on stock brokers and brokerage firms by the Financial Industry Regulatory Authority (FINRA). As FINRA licensing is required of all brokers, it’s important to ensure that the licensing application is made properly. Our firm has experience dealing with licensing rejections and can assist with resolution.

In addition, our attorneys can provide expert counsel on continued FINRA compliance necessary for continued business operations.

Business Litigation by a Tampa Stock Broker Representation Lawyer

Our firm also has significant experience dealing with business litigation. If your dispute cannot be resolved, our attorneys can help you understand your next steps. An alternative dispute resolution process may be desirable such as mediation or arbitration. Your attorney can discuss each and help you understand whether your case is appropriate to submit to ADR.

In the event your dispute cannot be resolved outside the courtroom, our firm can aggressively pursue your case in court.  For most regulatory complaints, time is of the essence as the law requires strict response deadlines. Therefore, it’s critical that you seek sound legal counsel as soon as you suspect you may have a dispute. If you receive written notice of a complaint, bring it to your attorney right away.

Trust your case to our premier Tampa securities law firm. Our staff can provide comprehensive evaluation and counseling on a variety of business and litigation matters. To schedule an appointment with the office of Savage Villoch, PLLC, call today at 813-251-4890.