Winthrop & Weinstine, P.A.'s experience in this area covers virtually all aspects of broker-dealer and investment banking law, both as in-house general counsel and outside counsel. In fact, our attorneys have experience with almost every type of transaction or issue that a broker-dealer, their executives, representatives and customers become involved in.
Our investment banking lawyers have also worked on matters involving regulatory compliance and exam matters, net capital computations, clearing firm matters (from drafting clearing agreements to dealing with specific clearing customer issues like DTC, involvement in stock borrowing transactions and managing margin accounts among other things) and other operational broker dealer issues. Few securities attorneys have this detailed operational experience.
In addition, our banking attorneys have worked on registered and nonregistered offerings for broker dealers (publicly traded entities and private firms) as well as all the public SEC filings for publicly traded broker dealers and their executives. Our attorneys also have counseled broker dealer executives on numerous issues.
Winthrop & Weinstine attorneys have helped brokerage firms and related entities form, operate, buy, sell and liquidate. In addition, our investment banking law group has significant expertise in SIPC insurance issues.
On the litigation side, Winthrop & Weinstine attorneys have represented investors and brokerage firms in numerous NASD Arbitration matters, as well as in court. We have managed many of these types of customer disputes or company matters (be it company vs. company issues or otherwise). We have represented firms and individual brokers in disciplinary matters, be it with the company or their regulatory authorities.
A short list of former/current clients and firms include: Piper Jaffray, Northland Securities, Dougherty & Company, Feltl & Company, Stifel Nicolas, Miller Johnson Steichen Kinnard, Miller Johnson & Keuhn, RJ Steichen & Company, John G, Kinnard & Company, Equity Securities, Summit Investments, McClees Investments, Juran & Moody and others. To learn more about our broker-dealer and investment banking practice, contact us today