Broker-Dealers & Investment Advisors

Pino Nicholson routinely assists broker dealers and registered representatives with regulatory matters before FINRA, CFTC, SEC, and state securities advisors. We also represent our clients in disciplinary matters brought by a broad range of professional designation boards.

Our firm has experience in representing registered representatives in the expungement process in order to clear remarks from a registered representative’s regulatory filings with the CRD. Our attorneys further assist broker dealers and registered representatives in intra industry disputes, including promissory note issues, commission issues and issues surrounding registered representatives changing broker dealers.