Securities Law Lawyer – Greater Boston Area
Securities Law | Securities Litigation | Securities Arbitration | Compliance | Representation Of Registered Broker-Dealer/Investment Advisory Regulations/Registered Representatives
Securities law is among the most highly regulated industries in the country. Among our clients are two of the ten largest privately held brokerages in the nation, as well as numerous smaller clients throughout the Northeast and New England. Why our Newburyport firm and not a large, fancy New York or Boston firm?
Our team of lawyers offers our clients focused, empathetic, and skilled legal counsel that protect their interests and their investments – every day. Our motto is New World Strategies, Old World CommitmentSM. We work hard to earn your respect and trust, offer innovative solutions and resourceful guidance, and deliver legal services swiftly, efficiently and economically.
At the law firm of Finneran & Nicholson, P.C., we have considerable experience representing clients related to securities-related matters, from legal oversight, obligations and requirements from the Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), as well as state and federal law.
Representing A Variety Of Clients In Diverse Securities Matters
Over the years, our securities practice has experienced tremendous growth, with specific emphasis in the following areas:
- Representation of registered broker-dealers, investment advisers, registered representatives and financial planners
- Registration of, and Compliance for, Investment Advisers – state and federal
- Securities arbitration
- Securities compliance (federal and state), making sure all of our clients are registered and comply with the regulations
- Securities litigation
- Securities disciplinary actions
- Securities enforcement actions
Our Legal Practice Is Honed By Years Of Experience
Our lawyers include a former chair of the Massachusetts Bar Association’s Securities Practice Group; a former colleague Attorney Grover Parnell was trial counsel for the Boston Regional Office of the Securities and Exchange Commission, and counsel with extensive trial experience appearing before the New York Stock Exchange, the former National Association of Securities Dealers – now the Financial Industry Regulatory Authority (FINRA), and state and federal courts and courts of appeals throughout the United States.