"Excellence in Advocacy and Corporate Documentation..."
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Brunelle & Hadjikow, P.C. is a full service securities, broker-dealer litigation, regulation, employment and business transactions law firm. Our firm offers services in the following practice areas:
Securities Litigation and Arbitration
Our firm represents clients in every aspect of securities litigation and arbitration, including class-action litigation, arbitrations and enforcement proceedings, and our services include:
- Representation of individuals in regulatory investigations and disciplinary proceedings before the SEC and CFTC, NYSE, FINRA (formerly NASD), ISE, CBOE, Amex and other regulatory and self-regulatory organizations on many different topics, including alleged sales practice violations, supervisory failures, operational problems, books and records deficiencies, sales practice and proprietary trading violations, net capital and other financial responsibility rules, specialist and market maker compliance, anti-competitive prohibitions, Trading Floor violations, registration issues, market manipulation charges, fraud charges and anti-money laundering allegations.
- Representation of financial industry firms and their personnel in appeals to the United States Court of Appeals for the Second Circuit from the decisions of regulatory and self-regulatory organizations.
- Representation of broker-dealers in disputes involving all other aspects of their business, including regulatory examinations, investigations, subpoenas, disciplinary proceedings, commercial transactions, compliance, operations and employment.
- Representation of organizations and individuals with reference to internal investigations.
- Representation of parties to disputes over retail brokerage and investment advisory services, including matters of suitability, excessive trading, sales practices and supervision.
- Representation of parties in a wide variety of employment disputes, including the litigation of claims relating to compensation, discrimination, restrictive covenants and defamation, before Federal and State Courts and arbitration panels of the AAA, FINRA and other securities and commodities self-regulatory organizations.
- Representation inter-firm disputes involving “raiding,” unfair competition, operational and contractual disputes.
- Class action defense of brokerage firms involved in anti-fraud claims before the U.S. District Court for the Southern District of New York.
Broker-Dealer Regulation
A major part of our practice consists of advising broker-dealers and securities professionals, and of designing systems and procedures of supervision and control, to help avoid enforcement proceedings, lawsuits and arbitrations. We also develop and help implement compliance manuals and educate firm personnel in matters of compliance and supervision.
Transactional Services
Our corporate and transactional practice includes: Representing investment-related companies in entity formation, regulatory licensing and the development of compliance procedures. Structuring deals and drafting agreements for all aspects of financial services and proprietary trading businesses. Providing corporate organization and reorganization services, forming, acquiring, merging, consolidating, reorganizing and dissolving corporations, limited liability companies and partnerships; preparing shareholder, buy-sell and operating agreements; and drafting organizational minutes and resolutions. Preparing documents for the organization and capitalization of hedge funds and private equity firms.
Employment Law
Our employment law practice covers all aspects of the employer-employee relationship, other than collective bargaining. Our attorneys represent financial industry employers and employees in the negotiation and drafting of employment and compensation agreements and severance agreements. We also prepare and implement procedures manuals for compliance with equal opportunity and other employment regulations, and with registration and background disclosure requirements. We also provide advice on independent contractor and consulting relationships.
Business Entity Law
Our attorneys regularly advise corporations and their shareholders, directors and officers, limited liability companies and their members, and general and limited partnerships and their partners on their rights and liabilities under state and Federal law. We advise business entities on all stages of their development, from formation through dissolution. We advise clients with respect to the purchase, sale, structuring and reorganization of business entities and their affiliates. We prepare shareholder and buy-sell agreements and operating agreements, and advise our clients with respect to the resolution of disputes. We represent business entities and their equity holders in disputes among them that are submitted mediation, arbitration and Federal and State court, and advise auditing committees and independent directors with respect to internal investigations and compliance issues.
Business Transactions
We represent financial industry members in virtually all of their business dealings. We advise and represent clients in the buying and selling of business entities and assets, negotiation of contracts with clearing firms, prime brokers, joint venturers, lenders, service bureaus, vendors, information and technology providers and other members of the industry and third parties. We also represent members of the industry in entering or terminating their employment and other business relationships, and in making financing arrangements on terms that comply with regulatory financial requirements.
We can help you with your legal problem. Please call us today at
(212) 809 - 9100 to speak with our attorneys about your case.
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