K&L Gates’ Broker-Dealer group is a key component of the firm’s core Financial Services practice. The attorneys in this practice advise a broad range of broker-dealers including broker-dealer affiliates of banks, hedge funds, insurance companies, investment advisers, and international, national, and regional firms. The lawyers in the Broker-Dealer practice include former senior U.S. Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD) – now Financial Industry Regulatory Association (FINRA) – officials, two former state securities commissioners, and practitioners who have worked in-house at well-known securities firms. Collectively, our lawyers have appeared before every state securities commission in the United States.
Many of the lawyers in the Broker-Dealer group also practice in other areas such as investment management, securities enforcement, hedge funds, internal investigations, and litigation. Although we regularly provide advice to clients who are engaged solely in broker-dealer activities, we also provide comprehensive legal services to diversified financial services companies that offer investment management and brokerage as part of their business.