Broker-Dealer / Investment Adviser Representation

Request Info 

Law & Regulation Practice

Mr. Bean, as a former general counsel and President of a Broker-Dealer, is uniquely suited to provide Broker-Dealers and Investment Advisers general representation regarding their business, including compliance, regulatory inquiries, offerings, securities litigation and sale of their business.  Mr. Bean has over 25 years of experience representing regional and local broker-dealers before the Securities and Exchange Commission (”SEC”), the Financial Industry Regulatory Authority (“FINRA”), State securities commissions, and in arbitration before FINRA.

Mr. Bean’s practice also includes advising Investment Advisers regarding registration with the SEC or State securities commissions, inquiries from those regulators, litigation regarding their business, and the sale or purchase of investment advisory practices.

Mr. Bean is also available to provide an independent review of a broker-dealer or investment adviser’s compliance policies and procedures and system of supervision.

Related Articles From the Blog:


Control Person Liability Under the Colorado Securities Act

The Colorado Court of Appeals recently issued an opinion analyzing control person liability under the Colorado Securities Act.  Under the Colorado Sec more…

T+2 Goes Into Effect on September 5, 2017

In March, the SEC approved a rule change reducing the settlement cycle from T+3 to T+2.  Whereas your Monday trade settles on Thursday right now, it w more…

Supreme Court Limits the Period of Disgorgement

The Supreme Court, in a 9-0 decision, ruled that the SEC’s claims for disgorgement are subject to a five-year statute of limitations, thus preventing more…

Department of Labor Fiduciary Rule

The Department of Labor’s Fiduciary Rule, which was scheduled to become effective on April 10, 2017, has been delayed to June 9, 2017 while the Depart more…


Sign up to receive articles in your inbox: