Securities Regulatory and Registration Matters

It is often said that the securities industry is the most heavily regulated industry in the United States. If it is not, it may soon become so. Stockbrokers and brokerage firms are subject to regulation by each state in which they are registered, as well as the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA).

Dobin Law Group, P.A. has assisted clients with inquiries from the SEC, FINRA and its predecessor, NASD, and several different states, but mostly Florida. Dobin Law Group, P.A. assists stockbrokers in the sometimes arduous registration process caused by an indiscretion or two in their past. Marc doesn’t judge. He’s received a couple speeding tickets himself.

The firm handles matters involving expungements for brokers. CRD reporting requirements are strict, so a broker may be forced to report a customer complaint on a U-4 or U-5 due to factors other than the broker’s conduct. An expungement can straighten this out. We handle expungement matters for brokers.

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