"Excellence in Advocacy and Corporate Documentation..."
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 ANNA HADJIKOW is a member of the firm who focuses her practice on broker-dealer and investment adviser regulation, corporate and limited liability company law, commercial transactions, securities regulation, employment law, mergers and acquisitions of broker-dealers and other securities and investment entities, regulatory examinations, securities arbitration and securities litigation. Ms. Hadjikow was admitted to the Bar of the State of New York in 1995 and the U.S. District Court for the Southern District of New York in 1997.
Ms. Hadjikow acquired her B.B.A. from City University of New York - Bernard M. Baruch College in 1988 where she graduated cum laude. She then obtained her J.D. from St. John’s University School of Law in 1994. She is a member of the New York State Bar Association.
Ms. Hadjikow has over ten years of experience in the formation, structuring, governance, licensing, financing and regulation of broker-dealers and investment advisers. She has represented numerous broker-dealers and investment advisers in virtually all aspects of their business dealings, including mergers, acquisitions and consolidations; equity and asset purchases; corporate, limited liability company and other equity agreements; organizational structuring; reorganizations; membership applications and regulatory licensing with the SEC, NYSE and NASD (now FINRA), Amex and state regulators, compliance with Federal and state securities laws; compliance with the rules and regulations of the SEC, NYSE and NASD (now FINRA) and Amex and other regulators, FINRA Rule 1017 continuing membership applications, structuring of supervisory systems, employment matters, equity and debt transactions, financing, clearing arrangements, Trading Floor compliance, investment banking, disclosure issues, regulatory examinations, inquiries, investigations and disciplinary actions, securities industry dispute resolution, arbitrations and litigation, regulatory net capital and financial compliance and statutory disqualification applications and issues.
Ms. Hadjikow also forms and advises hedge funds and money managers with respect to various aspects of their operations and applicable regulatory compliance with SEC and state investment advisory and other regulation. She also represents securities industry employees with respect to employment agreements and issues, and investors, shareholders and limited liability company members with respect to equity holder agreements and issues, compliance officers and other securities industry professionals with respect to licensing, investment and business transactions and issues.
Ms. Hadjikow has significant experience in areas that include prime brokerage, soft dollars, commission recapture, market making and specialist requirements, regulatory net capital compliance, principal licensing, regulatory disclosures, negotiation and drafting of clearing agreements, private equity, information barriers, Section 13(d) filings, SEC Rule 15c3-1(d) subordinated financing, SEC Rule 17a-11 notification requirements, FINOP issues, research reports and analysts, securities and investment publications, fidelity bond claims, NYSE Form RE-3 and FINRA Rule 3070 disclosable events, heightened supervision, best execution, expense sharing, joint trading accounts, trading issues, employment and separation agreements, employment disputes, consulting arrangements, shareholder agreements, limited liability company agreements, buy-sell agreements, and limited shareholder and liability company member disputes, sales practice violations, customer complaints, anti-money laundering compliance and issues, electronic record preservation, Trading Floor regulation and licensing, NYSE “direct access” applications and compliance, and regulatory “hot issues.”
E-mail Attorney Anna Hadjikow at
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