Securities & Investment Advisor Matters
Kubasiak, Fylstra, Thorpe & Rotunno, P.C. maintains a strong concentration in securities litigation. Members of the firm try cases on behalf of large- and medium-sized securities firms before federal courts and industry arbitration panels throughout the United States. The firm has successfully prosecuted and defended cases involving claims of fraudulent misrepresentations, insider trading, churning, inappropriate investment vehicles, and violations of industry rules and regulations. The firm also represents both securities firms and individual financial advisors in SEC, FINRA, NYSE, and State Securities Department enforcement actions. In addition, the firm has experience with disputes arising out of the recruitment and hiring of brokers. The firm’s broker recruitment cases often involve alleged violations of broker’s restrictive covenants, misappropriation of trade secrets, and unfair competition. The firm represents both plaintiffs and defendants in these cases. One of the firm’s securities litigators serves as an arbitrator for FINRA.
Kubasiak, Fylstra, Thorpe & Rotunno, P.C. also represents registered investment advisory firms in connection with all of their legal needs, including general corporate matters and employment and regulatory issues. The firm has a special niche representing advisory firms in connection with their merger, acquisition, and sale activity with the ability to negotiate and draft appropriate documentation and make sure all regulatory requirements are met. The firm also represents individuals and groups of individuals who form RIA firms providing counseling advice and formation services, drafting shareholder and operating agreements, preparing Form ADVs, client investment management agreements, compliance manuals, and codes of ethics, and reviewing all necessary documents for an RIA firm to operate to make sure they comply with all the securities laws and regulations.
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