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Attorneys Assisting Brokers and Dealers with Regulatory Issues

Representing bankers and securities brokers throughout West Virginia, Ohio and Kentucky

Securities brokers and dealers have long been subject to a great deal of supervision. In recent years, however, this scrutiny has increased substantially. As it currently stands, dealers in securities face significant regulatory challenges from governmental and independent organizations while at the same time dealing with elevated expectations from their clients. Now more than ever, investment banks and other securities brokers need experienced legal counsel to help them confront these challenges. With substantial knowledge of securities law, our attorneys at Pullin, Fowler, Flanagan, Brown & Poe work with brokers and dealers throughout West Virginia, Ohio and Kentucky. Our lawyers help investment bankers understand their regulatory obligations and provide representation during litigation, administrative actions and client disputes.

Securities regulation in West Virginia, Ohio and Kentucky

Brokers and dealers work under the watchful eyes of the Securities and Exchange Commission, the West Virginia State Auditor and other similar state agencies. Moreover, independent agencies, such as the Financial Industry Regulatory Authority (FINRA), serve as watchdogs for investors throughout the nation. Our attorneys assist brokers and dealers in addressing compliance issues and responding to inquiries from these and other organizations, including:

  • Licensing
  • Registration
  • Reporting
  • Disclosures

For investment banks and brokerages, regulatory issues are nearly unavoidable. Our experienced attorneys, however, can help your company respond to regulatory investigations in a cost-effective manner while still achieving the ultimate goal of avoiding or minimizing adverse consequences. Our lawyers are able to negotiate with regulators when appropriate to resolve compliance issues and to present a staunch defense when negotiation is not an option.

Broker and dealer defense in West Virginia, Ohio and Kentucky

Pullin, Fowler, Flanagan, Brown & Poe represents investment bankers, brokerages and securities dealers throughout West Virginia, Ohio and Kentucky through all phases of securities investigations and litigation. We assist clients in managing document requests from regulators and preparing for interviews and administrative hearings.

In addition, our attorneys work with clients to resolve client disputes and represent them during FINRA arbitrations and other types of litigation. We understand the damage and disruption that client disputes can cause and make every effort to resolve these manners in a cost-effective and amicable manner. But we are also prepared to litigate when it is consistent with our clients’ goals and best interests.

Pullin, Fowler, Flanagan, Brown & Poe provides reliable counsel regarding securities issues

The attorneys of Pullin, Fowler, Flanagan, Brown & Poe advise investment banks and brokerages throughout Ohio, West Virginia and Kentucky regarding securities regulation and compliance issues. Call us at 304-344-0100 or contact us online to begin a relationship with a law firm that is nationally recognized for experience and quality while remaining dedicated to its community and employees.


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