Capital Associates has been helping clients meet their broker/dealer and registered investment advisor compliance requirements. Our team informed analysis to ensure compliance with the FINRA, SEC, and state regulations, as well as assisting with

offers legal and compliance services to investment advisers, broker-dealers, and insurance producers. Our mission is to provide of 1940, the Investment Company Act of 1940, SEC regulations, FINRA codes, and state blue sky and

: securities litigation and arbitration, representation of broker-dealers, registered persons and investment advisers, SEC and FINRA investigations and enforcement

. As litigation and regulatory enforcement attorneys, we represent broker-dealers, financial institutions, and advisors in a variety of Disputes, FINRA Investor Claims Defense. FINRA Investor Claims, SEC & CFTC Whistleblower Claims And in all other securities

with securities litigation, including arbitration of broker-dealer disputes, and securities regulatory defense (SEC, FINRA and state agency proceedings

small and medium-sized businesses seeking capital, Broker-Dealers requiring compliance with SEC and SRO regulations, and wealth managers