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Broker-Dealers and Investment Advisers

Becker & Poliakoff represents a wide range of financial services firms engaged in securities brokerage services, investment banking and investment advisory services.  We provide advice and counsel in all areas of operations, including formation and business development, compliance, corporate finance and securities litigation.

We regularly represent organizations and individuals in regulatory investigations and proceedings conducted by the federal and state securities agencies and self-regulatory organizations, as well as litigated matters including securities arbitrations.

Becker & Poliakoff is known as the go-to Firm for successful registered representatives that have a dream of establishing their own broker-dealer. We have guided numerous individual brokers in the transformation from registered representative to securities principal and firm owner.

Our broker-dealer practice group:

  • provides representation in all phases of broker-dealer formation including corporate structure, capital formation and development of written supervisory and compliance procedures and policies;
  • performs general compliance support for retail organizations including representation in regulatory and enforcement proceedings before the SEC, FINRA, NYSE, state securities agencies and other self-regulatory organizations;
  • negotiates clearing and other vendor agreements,  and provides advice on complex trading and other regulatory issues;
  • structures various corporate finance transactions and provides representation on private financings, PIPE transactions and underwritten public offerings;
  • represents clients acquiring, selling and merging broker-dealers including the negotiation and structure of the transaction and regulatory compliance; and
  • advises on general business and legal issues.

 

Representative Matters:

Our corporate and broker-dealer group has been retained by Sandlapper Financial, a broker-dealer and investment advisor firm located in South Carolina, to represent it in the acquisition of a similar firm, also located in South Carolina. The firm to be acquired has over $250 million in assets under management. We are negotiating the acquisition terms, including cash and earn out provisions and assisting our client with regulatory filings with the SEC and FINRA. FINRA is the self regulatory authority for the broker-dealer industry. We have also assisted our client with legal due diligence on the selling firm. The selling firm is represented by the Atlanta office of Sutherland Asbill & Brennan LLP. We will continue to represent the combined firms. We are also assisting our client with investment banking transactions, including a public offering for one of their clients.

Name Title Phone V-Card Email Office
Brian Daughney Shareholder 212.599.3322 New York
Victor J. DiGioia Office Managing Partner, New York 212.599.3322 New York
Steven L. Glauberman Shareholder 212.599.3322 New York
Michael A. Goldstein Shareholder 212.599.3322 New York
Stanley R. Goldstein Shareholder 212.599.3322 New York
Sarah Klein Attorney 212.599.3322 New York
Robert I. Rabinowitz Shareholder 732.842.1662 Red Bank
Glenn H. Spiegel Shareholder 212.599.3322 New York
Jie Xiu Shareholder 212.599.3322 New York