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. Our attorneys also 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.
Oswald & Yap is 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).
Calvin Yap
You may contact us by e-mail using the form below. A representative of the firm will respond as soon as possible.
