Securities Law

Frantz Ward regularly represents financial services industry clients, including broker/dealers and investment advisers in a variety of matters, such as:
  • Defense of firms and/or individual registered representatives in arbitrations brought by customers.
  • Representation of firms or individual registered representatives with respect to regulatory inquiries, investigations, license suspension, cease and desist, and enforcement proceedings brought by the Ohio Division of Securities, the SEC, or FINRA.
  • Representation of issuers of SEC court or administrative proceedings.
  • Representation in employment matters where a representative leaves one firm and joins another.
  • Representation of broker/dealers who use independent registered representatives.
  • Assisting persons in establishing investment advisory firms, including licensing, preparing of Form ADV, and necessary client and solicitors' agreements and disclosure statements.
  • Assistance in preparation for regulatory audits of broker/dealers and investment advisors, and in responding to regulatory inquiries.
  • Advising regarding the payment of finders' and referral fees.
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