Success message
Error message
The Law Offices of Alan Abergel, P.C. (“LOAA”) represents broker-dealers, registered representatives, investment advisers, and financial services firms in FINRA investigations, disciplinary proceedings, arbitrations, and regulatory matters.
Attorney Alan Abergel is licensed by both the State Bar of Texas and the State Bar of California.
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry and conducts disciplinary proceedings against member firms and associated persons for alleged violations of:
FINRA rules
Federal securities laws and regulations
Municipal Securities Rulemaking Board (MSRB) rules
Formal FINRA disciplinary actions are initiated by filing a complaint with the Office of Hearing Officers, and proceedings are governed by FINRA’s Code of Procedure.
See also FAQs Concerning Review of Criminal Background to Determine Effect on Licensing
FINRA investigations often involve Rule 8210 requests for information and testimony, which require registered persons and firms to provide documents, written responses, and on-the-record testimony.
LOAA represents broker-dealers and registered persons in responding to FINRA inquiries, regulatory examinations, and enforcement investigations.
FINRA also provides arbitration and mediation forums for disputes involving investors, securities firms, and registered representatives. LOAA represents securities professionals and financial services firms in:
FINRA arbitration proceedings
FINRA mediation proceedings
State and federal court actions to confirm or vacate arbitration awards
LOAA represents securities industry participants in regulatory investigations, enforcement actions, and administrative proceedings before:
LOAA also represents business brokers, M&A intermediaries, middle-market investment banks, financial planners, and investment advisory firms in regulatory and litigation matters.
LOAA provides the following legal services to securities industry clients:
Representation in FINRA investigations and Rule 8210 matters
Defense in FINRA disciplinary hearings and appeals
Representation in FINRA arbitration and mediation proceedings
Securities regulatory enforcement defense before FINRA, SEC, and state regulators
Litigation in state and federal courts related to securities matters
Compliance counseling for broker-dealers and registered representatives
Legal Opinions: LOAA provides legal opinions to individuals and businesses that need a legal analysis of whether their activities require a Texas financial regulation license and which one and under which classification. These opinions involve a detailed examination of the services provided, the compensation structure, the relationship between the service provider and the customer, and the specific statutory definitions and exemptions. A well-reasoned legal opinion provides the client with a documented basis for its compliance position and can serve as evidence of good faith in the event of a future Texas agency regulatory inquiry about whether the client's activities constitute unlicensed practice.
LOAA represents:
Broker-dealers and brokerage firms
Registered representatives and associated persons
Investment advisers and investment adviser representatives
Business brokers and M&A intermediaries
Financial planners and wealth management firms
Middle-market investment banks and financial institutions
Dallas FINRA Defense Lawyer
Texas FINRA License Defense Attorney
Broker-Dealer Defense Lawyer
Registered Representative Defense Lawyer
Securities Arbitration Lawyer
LOAA represents securities firms and financial professionals in regulatory and disciplinary matters. LOAA does not represent consumers.
“I engaged Alan to help me through the complexities of obtaining my Lenders License. He was very knowledgeable about the process and provided me with a high level of service. I worked quickly getting him all the information needed and he worked at my pace. He was responsive to e-mails and questions and followed up with the DFPI to make sure everything was filed correctly. I had read online that this process could take as long as 6 months however Alan completed the assignment in less than 3 I will be retaining his services in the future to ensure my company remains in compliance."
--Petroleum Realty Group Inc.
"I hired Alan to represent me as a mortgage broker before the California Department of Real Estate. I couldn't be more pleased with Alan's services from start to finish. Alan was clear and concise. Alan's communication throughout the process was professional. I received the results I hoped for. Thank you Alan. I'll definitely recommend you to ALL and use your services again in the future shall I need anything!"
-Anonymous
"Very helpful in assisting in obtaining an OCCC Texas Motor Vehicle Sales Finance License. Very knowledgeable in answering all questions the OCCC asked for on their questionnaire. Highly recommended and would re-hire for any future assistance regarding motor vehicle and finance business. God Bless!"
-Raul
