Broker-Dealer / Investment Adviser Representation

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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.

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