Gloor Law And Arbitration, LLC

REGULATORY COMPLIANCE GUIDANCE AND LEGAL SERVICES TO BROKER-DEALERS AND INVESTMENT ADVISORS

We serve as outside general counsel to broker-dealers and investment advisers, with a particular focus on providing legal advice and counsel to these firms and their representatives relating to compliance with the federal securities laws, SEC regulations, FINRA Rules, and the securities laws of Maryland, the District of Columbia and New Jersey. Part of our practice includes defending broker-dealers and registered investment advisers in arbitration and enforcement actions. We also provide training and education, including annual compliance meetings and compliance education programs for firms and their representatives.