Broker – Dealers

A unique service of our firm is representation of broker/dealers. We often act as underwriter’s counsel in public offerings. We also serve as managing dealer or placement agent counsel in private offerings. Finally, our attorneys provide counsel to investment bankers in mergers, acquisitions, and investments.

Oswald & Yap’s experience in this area includes assisting clients with their internal compliance requirements, due diligence, Financial Industry Regulatory Authority (FINRA) audits, account opening procedures, and Patriot Act compliance. We have also participated in the purchase, sale, and formation of broker-dealers.

Our litigation attorneys have extensive experience, having represented broker/dealer firms and brokers in hundreds of securities arbitrations. Oswald & Yap has also been actively involved in representing broker/dealer firms and brokers in investigations and proceedings by the United States Securities and Exchange Commission (“SEC”) as well as state securities regulators.

Our attorneys are members of the Registered Representatives Arbitration Defense Associates (RRADA) and the National Investment Banking Association (NIBA).

Focused on Business, Securities and Real Estate for Over 25 Years

Listed in the Bar Registry of Preeminent Lawyers since 1985, Oswald & Yap LLP has ABOTA Certified (less than 3% of trial attorneys nationally) and AV Rated* attorneys to assist you. To find out how we can help you make the most of your business opportunities and real estate investments, both domestic and abroad, contact us today.

*AV is the highest possible rating of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures which are based on legal ability and ethical standards.