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Securities Law

The Castle Law Firm has extensive experience helping financial services professionals, as well as private companies seeking to raise capital through outside investment, navigate the many complex securities laws and regulations that apply to their dealings.

Registration, Compliance, and Dispute Resolution for Financial Services Professionals

The Castle Law Firm assists financial services professionals navigating intricate compliance and regulatory matters. The firm provides registration and compliance program services for various Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and Financial Industry Regulatory Authority (FINRA)-regulated investment advisers, advisory firms, broker-dealers, registered representatives, and other financial services entities. The firm guides its clients through regulatory investigations and provides counsel for various types of investment related customer and employment disputes in FINRA arbitrations.

 

Attorney Rob Castle has a detailed understanding of the financial services industry’s laws, rules, and regulations, including the forums in which disputes are adjudicated. He is a registered FINRA arbitrator who is trained to see disputes from all angles. He works with opposing counsel to reach the most favorable outcome for his clients, and if necessary, will take the dispute to the appropriate forum—whether that be state or federal court, mediation, or arbitration before FINRA, the Chicago Board Options Exchange (CBOE), JAMS, the American Arbitration Association (AAA), or other self-regulatory organizations (SROs). He also represents financial services industry registered representatives in expungement cases of their CRD and BrokerCheck records.

Raising Capital Through Private Placements and Other Securities Offerings

Companies seeking to take on investors, raise capital, or take their business public need a lawyer with extensive experience in the highly regulated field of securities law. “Securities” are defined quite broadly by government and regulatory agencies, and certain exemptions may apply that make it important to rely on trusted counsel. At The Castle Law Firm, we help companies of all shapes and sizes assess various exemptions from securities registration requirements on both the state and federal levels, and provide private placement memorandum (PPM) services for companies taking on investors.

Contact The Castle Law Firm

There are few law firms with the experience and dedication to represent financial services entities and their registered representatives. Call to talk with attorney Rob Castle of The Castle Law Firm at 312-598-3971, or email the firm.