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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.
Podcast: Public-Private Sector Collaboration as a Means to E...
SEC Regulation Best Interest Is Now in Effect
SEC Adopts Changes to Accredited Investor Definition
Frantz Ward Recognized in 2023 Best Law Firms
November 4, 2022
Use Caution When Paying Finder's Fees in Securities Transactions
August 1, 2022
The Non-Existent "Friends and Family" Exemption Under Federal and State Securities Law
March 11, 2022
Frantz Ward Recognized in 2022 Best Law Firms
November 8, 2021
Frantz Ward Recognized in 2021 Best Law Firms
November 5, 2020
SEC Amends Rules to Simplify Exempt Offerings and Increase Dollar Limits
November 3, 2020
Forty-Seven Frantz Ward Attorneys Recognized by The Best Lawyers in America
August 19, 2020
Supreme Court Allows, But Limits, Disgorgement as a Remedy in SEC Enforcement Actions
August 5, 2020
SEC Proposes Rule to Amend Accredited Investor Definition
March 12, 2020
Thirty-Five Frantz Ward Attorneys Recognized by The Best Lawyers in America
August 15, 2019
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