I N V E S T O R   &   B R O K E R   R E L A T I O N S
Akabas & Sproule handles various matters relating to investor and broker relations. Our clients include broker/dealers, investment advisers and individual investors.

Under the recently enacted PATRIOT ACT to combat money laundering, the reporting, investigation and compliance requirements for broker/dealers and investment advisers have become more stringent. Akabas & Sproule works with our clients to ensure that their compliance and reporting systems meet these new stringent requirements. We can prepare a compliance manual and anti-money laundering policy that meets the requirements of the PATRIOT ACT.

Akabas & Sproule does extensive regulatory work for broker/dealers and investment advisers. We prepare all the necessary filings on both the federal and state level, whether a client wishes to start a new entity or maintain its status as a registered broker/dealer or investment adviser.

Akabas & Sproule maintains an active arbitration and litigation practice to protect the rights of the individual investor. Individual investors who may have been wronged by their brokers, by having unsuitable investments recommended, by having excessive trades effected in their accounts, by fraudulent statements or by negligent handing of their accounts must bring any claim against a broker through an arbitration. These arbitrations are conducted either by the NASD or the NYSE. We can review your account statements and other documents to determine whether or not you have a claim, and, if a claim does exist, commence and prosecute the claim.

For more information, contact: Seth Akabas

Representative clients: Pinnacle Taxx Advisors

Related links:

U.S. Securities and Exchange Commission
securities laws and EDGAR database of corporate filings

NASD Regulation Inc.
securities regulation and investor education

Money Managers Services
compliance tools for money managers

Investment Adviser Registration Depository
electronic filing for investment advisor registration

  488 Madison Ave, 11th Floor   New York, New York 10022   V: 212.308.8505   F: 212.308.8582