Securities & Investments Attorney in Miami, Florida

Prego Law Group PLLC provides small and mid-size US and foreign broker-dealers, and investment companies with a full range of regulatory, corporate, securities, mergers and acquisitions (M&A), and other services.

Because of Prego Law Group PLLC's lead attorney's extensive experience, Prego Law Group PLLC can provide its clients with robust advice and representation on compliance with securities laws, rules, and regulations, as well as the applicability of broker-dealer registration requirements, and membership with SROs. Prego Law Group PLLC monitors developments in regulatory and compliance matters, including SEC and FINRA rule proposals to ensure our clients stay ahead of the game avoiding fines, reputational damage, and high-cost corrective actions. Additionally, Prego Law Group PLLC provides extensive advice and representation on regulatory compliance, including approvals for change in control, business activities, “due diligence” reviews, and sales/research practices reviews.

Speak to an Attorney Today

Our securities & investments attorney provides trustworthy solutions for your needs. Our law firm serves the areas of Miami, North Miami, Broward County, and Miami-Dade County, Florida. Get in contact with Prego Law Group PLLC today.

Prego Law Group PLLC represents brokers, dealers, registered representatives, and individual clients in litigation, FINRA arbitration, and regulatory enforcement proceedings. Prego Law Group PLLC also advises institutional clients in connection with regulatory inquiries and internal compliance reviews.

Some of Prego Law Group PLLC's regulatory, compliance, and legal matters service offerings include:

• SEC Registration & FINRA Membership (NMA / CMA)

• Investment Advisory formation and licensing

• SEC Laws, rules, and regulation compliance

• AML / OFAC / KYC Compliance

• FINRA and other SROs rules

• Governance policies and procedures

• Training

• Securities Enforcement actions (CO, AWC, WPR) & fines

• Investigations

Schedule a Free Case Assessment Today

Prego Law Group PLLC is here to assist you with your securities and investments needs. Contact us today to set up a free case assessment in Miami, Florida. We serve the areas of North Miami, Broward County, and Miami-Dade County, Florida.