Broker Dealers

With an experienced team of securities attorneys, which include members of the National Investment Banking Association (NIBA), FitzGerald Kreditor Bolduc Risbrough LLP represents a wide range of individuals and financial services firms engaged in securities brokerage, investment banking, and investment advisory services.

Our comprehensive guidance covers all areas of operations, including formation, business development, compliance, corporate finance, and securities transactions. Frequently, we assume the role of underwriter's counsel in public offerings and fulfill the role of managing dealer or placement agent counsel in private offerings. Our attorneys provide invaluable counsel to investment bankers in mergers, acquisitions, and other financing transactions, including loans. 

Our experience includes providing assistance to clients navigating their internal compliance mandates, conducting due diligence, managing Financial Industry Regulatory Authority (FINRA) and SEC audits, streamlining account opening protocols, and Patriot Act compliance. Our portfolio consists of participation in the intricate processes of the purchase, sale, and formation of broker-dealers.

We remain actively engaged in representing broker-dealer firms and brokers in investigations and proceedings initiated by the United States Securities and Exchange Commission (SEC) and FINRA as well as state securities regulators.

Through our services, we empower our clients to navigate the multifaceted landscape of securities transactions with unwavering confidence and unparalleled success.