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Securities Practice

Our attorneys have represented clients in the financial services and securities industries in the full range of matters, including litigation, arbitration, transactions and regulatory matters. Our attorneys regularly serve as counsel in securities cases, representing broker-dealers, issuers, specialists, market makers, transfer agents, underwriters, hedge funds, investment advisors, venture funds, insurers and investors in state and federal courts as well as in Financial Industry Regulatory Authority ("FINRA") arbitrations. Our attorneys have an active practice advising broker-dealer clients on a wide range of issues including the issuance of securities, regulatory investigations, customer inquiries, general brokerage and sales practices and corporate transactions (such as formation, purchases, and sales of broker-dealers, hedge funds, and investment advisors).

Our attorneys have been general counsel of large Wall Street brokerage firms, and our partners are veterans of the New York Stock Exchange, Inc., Davis Polk & Wardwell LLP, White & Case LLP, Kelley Drye & Warren, Cadwalader, Wickersham & Taft LLP, Goodwin Proctor LLP and other highly respected Wall Street law firms and financial services companies. One of our Partners also served for four years on the Board of Directors, Regulatory Oversight Committee (including a term as chair) and Nominating & Governance Committee of Direct Edge, a national securities exchange.  

Our securities attorneys have extensive knowledge of federal and state securities laws, as well as FINRA and NYSE rules. This experience enables us to provide advice on disclosure and regulatory matters, and to assist clients in all aspects of preparation and processing of registration statements and ongoing reporting requirements. Our attorneys have significant experience in representing clients on regulatory matters involving both FINRA and the Securities and Exchange Commission ("SEC").

The attorneys of Pastore & Dailey have extensive experience and knowledge of our clients' businesses in the financial services and securities industries, including broker-dealers, hedge funds, venture funds, investment advisors, banks, reinsurers and transfer agents. Our experience includes representing the nation's largest specialist firm, the nation's largest transfer agent, leading brokerage firms, hedge and venture funds and the nation's largest mortgage lender. Our attorneys are well-versed in the issues that affect our clients in every sector of the financial services industry and have significant experience in handling high-profile matters.

Among a number of notable cases, our attorneys have handled some of the seminal securities industry litigation over the last decade, including one of the most extensive and complex securities arbitrations in the nation, as well as claims involving the ownership of securities trading systems, residential mortgage backed securities, structuring and stock loan disputes. Our attorneys have handled regulatory investigations involving some of the most sophisticated new securities offerings, such as Special Purpose Acquisition Companies. Pastore & Dailey offers expertise in high-profile broker dealer and fund disputes as well as bank conversion litigation, reinsurance litigation and arbitration, and bankruptcy litigation. Whether it be arbitration, litigation, a transactional or regulatory matter, Pastore & Dailey has the experience to handle the full range of issues faced by clients in the financial services industries.