securities lawyers

 

| Corporate| Broker-Dealers | Arbitration| Securities Defense| Employment Disputes | Contact

 

Home

About the Firm

Areas of Practice

Attorney Profiles

Cases

Publications

Media Contacts

Office Locations

Related Links

 

ny securities lawyers
nj securities attorneys

Corporate and Securities Litigation

At its core, Beam & Astarita is a litigation firm, representing our clients in corporate, commercial and securities related litigation. Our decades of trial experience have provided the knowledge and experience to enable our firm to effectively represent even the smallest business entity in its disputes, in an efficient and cost effective manner.

We also provide legal advice to individuals and corporations, in SEC actions, shareholder derivative suits, class actions, corporate dissolutions and minority shareholder litigation, as well as routine commercial disputes with vendors and customers. For a small sampling of corporate, commercial and securities litigation experience, visit our "cases" tab.

General Corporate Representation

Every entity, whether a small internet startup or a well established corporation with hundreds of employees, requires the services of experienced corporate counsel, for transactional work, or even the day to day corporate operations. Many of our corporate clients find themselves too small for an in house general counsel, and have come to us seeking those services. With flexible fee arrangements, we are able to provide service and results to those clients, without the fixed costs associated with hiring a full time attorney.

Our services include executive employment agreements, vendor agreements, lease review and negotiation; the entire range of "general counsel" services for the small to medium sized corporation, partnership or LLC. Our experience and dedication to our clients has allowed our attorneys to act as general corporate counsel to our corporate clients, in a cost effective manner, making it more practical to use the services of an outside attorney rather than hiring a full time general counsel staff.

Securities Employment Issues

As securities attorneys, employment law is a natural part of our practice. Since our main practice areas are corporate litigation and broker-dealer issues, it is not much of a surprise to learn that the attorneys at Beam & Astarita, LLC also provide unparalleled representation of industry professionals and broker-dealers in their employment related agreements, litigation, and arbitrations.

Whether we are representing the firm, a registered representative or an employee, our experience provides the ability to understand, appreciate, and address the issues that arise in the employment relationship, including the hiring process, the workplace and employment termination issues, whether voluntary, or involuntary. A full description of our experience and services in this area is contained at the Securities Employment page of our site.

Broker Dealer Practice

With a significant portion of our litigation practice involving the defense of brokerage firms and individual brokers, over the last 25 years we have developed significant expertise in the area of broker-dealer regulation and compliance.

Our broker-dealer practice is more that just defense, our experience and services also include pro-active work, such as business planning, including regulatory advice, advice on new aspects of a business mix, ongoing regulatory and corporate compliance. Those services include reviews and audits of internal procedures such as order handling, compliance department function, compliance and supervisory procedures and manuals and advice on trading-related compliance issues.

Many small and mid-size brokerage firms and investment advisors simply cannot afford a full time compliance officer and a full time general counsel. Our broker dealer clients range in size from 2 man firms, to firms with 500 registered representatives. For some, we are their "outside" general counsel and compliance department. With innovative fee arrangements from our corporate counsel work, including monthly flat fees, and a dedication to providing cost effective representation, we provide a level of service that matches those of a full time general counsel, without the ongoing expense to the small firm.

From initial applications to full time compliance and regulatory reviews, Beam & Astarita has the proven ability and experience to handle all aspect of Broker-Dealer law and compliance in an efficient and cost effective manner.


Securities Arbitration

Since the virtual dawn of NASD Arbitration, we have been representing customers and brokers in hundreds of arbitrations across the country. With the experience of over 500 arbitration matters, in 22 different cities, over 25 years, we have reviewed, investigated, presented and defended virtually every type of customer dispute that could possibly be filed, as well as all types of industry disputes, whether between firms, or between employees and firms.

We have appeared in state and federal court, as well as before arbitration panels located in every major city in the United States, and can assist you with your arbitration and litigation matters.


Investigation and Enforcement Defense

Our securities defense practice combines our decades of experience as corporate, securities and criminal litigators with our decades of broker-dealer experience. We have represented firms and brokers in investigations conducted by the SEC, the NASD and the NYSE on virtually every type of sales practice violation, as well as net capital violations, market timing, market manipulation and other enforcement matters. For a summary of our more interesting cases, visit our cases page.

Whether your matter is in the investigation stage, or proceedings have been commenced, or even in the instances of a referral for possible criminal prosecution, we can provide effective representation to you in either resolving the matter, or taking it through discovery and a hearing.

Our services also include representation of firms and individuals the SEC, the NYSE, the NASD, and the state regulators in connection with license hearings, MC400 hearings, requests for exemptive and "no-action" relief and representation in connection with compliance examinations, responses to U-5 reviews and exams as well as regulatory inquiries, investigations and enforcement proceedings.



 

Copyright 2009, Beam & Astarita, LLC, info@beamlaw.com

Attorney Advertising. Prior results do not guarantee a similar outcome