Start a Broker/Dealer
All you need to know about starting a FINRA registered Broker/Dealer


Legal Services


The HedgeCo Consultants aren't lawyers, but we have a vast network of affiliated law firms. Our in depth knowledge of your business model, budgetary requirements, and compliance needs allows us to identify an affiliated law firm that will fulfill your firm's needs.

 

Furthermore, all our services are provided with oversight from our network of attorneys. In many cases, the advice and services offered will qualify as confidential communications with counsel and are protected under the attorney/client privilege. Our legal services include:

 

  • 10b-5 Securities Fraud

  • Shareholder derivative actions

  • FINRA arbitration support

  • Litigation support and trends

  • Cost basis reporting requirements via the TARP Act

  • Foreign Corrupt Practices Act due diligence

  • Cyber fraud

  • Ethical and legal dilemmas

 

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