• Investment Advisory Firm Formation and Registration
• Mock Audits
• Form ADV Part 1, Form ADV Part 2 and U-4 Form Updates
• Ongoing Compliance Support
• SEC Examination and State Audit Representation
• Breakaway Broker Strategies
• FINRA Arbitrations
• Investor Fraud Cases
• SEC & State Based Compliance Manuals
• Corporate, Employment and Contact Law Expertise
• FINRA and CRD Account Administration
• Mock Audits
• Form ADV Part 1, Form ADV Part 2 and U-4 Form Updates
• Ongoing Compliance Support
• SEC Examination and State Audit Representation
• Breakaway Broker Strategies
• FINRA Arbitrations
• Investor Fraud Cases
• SEC & State Based Compliance Manuals
• Corporate, Employment and Contact Law Expertise
• FINRA and CRD Account Administration