Securities

We frequently work with financial service companies to ensure FINRA and Securities and Exchange Commission (SEC) compliance. Lawyers in our Los Angeles office have experience with securities law dating back decades. Broker-dealers and financial advisors turn to Gustafson Nicolai PC to prepare for external audits and respond to regulatory infractions that arise after. Our attorneys are well-versed on the Protocol for Broker Recruiting and related problems concerning broker-dealer transitions. We can advise our clients on a number of issues concerning non-competition, trade secrets, solicitation of clients, as well as repayment of promissory notes.


Whether your financial services company is publicly traded or interested in an initial public offering (IPO), navigating the current securities law landscape is filled with potential pitfalls. Because of this, Gustafson Nicolai PC places an enormous emphasis on continuing education. We never want to see our clients behind the securities law trends which is why we stay proactive and responsive to any new regulations and rulings. We never want the companies we represent to be caught in the cross hairs of financial service investigations that could have otherwise been prevented. The success of your securities firm is directly correlated to the success of our Los Angeles securities legal practice.