The Securities Practice Group at Hertz Schram provides advice and representation to securities brokers and dealers, registered representatives, investment advisers, investment advisor representatives, financial planners, insurance agents, corporate directors and officers, and investors. Our securities practice spans the spectrum from court or FINRA and SEC appointed facilitators to litigation, arbitration, mediation, regulation, registration, administrative proceedings, enforcement actions and criminal investigations and proceedings.
The financial services industry, of course, is highly regulated. We are frequently asked to assist our clients in navigating the often treacherous maze of securities statutes, rules and regulations imposed by federal and state governments, governmental agencies and industry self-regulatory organizations. We add value by cultivating and nurturing close relationships with regulators so that our clients can concentrate on their business, instead of being consumed with regulatory oversight.