Becker & Poliakoff represents a wide range of financial services firms engaged in securities brokerage services, investment banking and investment advisory services. These clients include full service broker-dealers, discount brokers, exchange specialists, financial consultants and fund managers, and we provide advice and counsel in all areas of their operations, including regulatory proceedings, corporate finance transactions and securities arbitrations.

We regularly represent organizations and individuals in regulatory investigations and proceedings conducted by the federal and state securities agencies and self-regulatory organizations, as well as litigated matters including securities arbitrations.

Becker & Poliakoff is also known as the Firm for successful registered representatives that have a dream of establishing their own broker-dealer. We have guided numerous individual brokers in the transformation from registered representative to securities principal and owner.

Our Broker-Dealer practice group:

• provides representation in all phases of broker-dealer formation including corporate structure, capital formation and development of written supervisory procedures and compliance structure;
  
  
• perform general compliance support and for retail organizations including representation in regulatory and enforcement proceedings before the SEC, NASD, NYSE, state securities agencies and other self regulatory organizations;
  
  
• negotiate clearing agreements and provide advice on complex trading issues;
  
  
• structure various corporate finance transactions and provide representation on private financings, PIPE transactions and underwritten public offerings;
  
  
• represent clients acquiring, selling and merging broker-dealers including the negotiation and structure of the transaction and regulatory compliance; and
  
  
• advise clients on general business and legal issues.

For further information on the Broker-Dealer practice group, please contact:

Victor J. DiGioia, 212-599-3322, vdigioia@becker-poliakoff.com
Stanley R. Goldstein, 212-599-3322, sgoldstein@becker-poliakoff.com