Honigman's Broker-Dealers and Investment Advisors industry group has extensive experience in advising and representing broker-dealers and investment advisors in many aspects of business and legal matters, including registration and formation of investment advisors, investment advisor compliance issues, regulatory and enforcement matters, arbitrations, and class action litigation. Our lawyers provide effective and meaningful solutions to clients through a cross-disciplinary, cost-efficient approach. Members of the Broker-Dealers and Investment Advisors group have been recognized as leaders in the legal profession by client- and peer-review publications, including Chambers USA: America’s Leading Lawyers for Business, The Best Lawyers in America, Michigan Super Lawyers, DBusiness, and Lawdragon. We have assisted many clients in the registration and formation of broker-dealer and investment advisor firms. For a number of years, members of the group have acted as outside general counsel to such firms, advising on daily or extraordinary registration and compliance issues. We also have substantial knowledge and experience advising broker-dealers and investment advisors about uncommon and/or sophisticated investment products and transactions.

Recognized as leaders in the industry, we provide thoughtful solutions through a cross-disciplinary, practical approach in a myriad of business and legal matters concerning broker-dealers and investment advisors, such as:


Arbitration

Class-action

Compliance

Enforcement

Formation

Regulatory

Registration


 
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