Baker Donelson has formed a Broker-Dealer/Investment Advisor Group within our corporate and litigation practice areas to focus on serving the varied needs of this industry. The Firm also will soon launch a compliance hotline service for assistance with our clients’ compliance issues.
Baker Donelson believes bringing together attorneys from our various practice areas that have expertise in this industry will enable us to provide a greater level of service to our broker-dealer and investment advisor client base. Baker Donelson represents a wide range of organizations engaged in providing brokerage, investment banking and investment advisory service, and our practice spans many different areas of this industry, including market regulation, securities enforcement, consulting, private client defense/arbitration, litigation, internal investigations, mergers, acquisitions, and securities offerings.