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Served as nationwide counsel for an independent broker-dealer in a series of related regulatory matters, class actions and arbitrations concerning Regulation D offerings and other alternative investments.

ClientIndependent broker-dealer
Region
Texas
National
Description
Served as nationwide counsel for a major independent broker-dealer in a large number of related regulatory matters, class actions and arbitrations concerning Regulation D offerings, non-traded REITs, and other alternative investments, including product due diligence, suitability, and supervision issues. We successfully litigated and settled actions brought by national and state regulatory authorities, as well as private litigation, arbitrations and mediations.
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Our Story

Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

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Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Served as nationwide counsel for an independent broker-dealer in a series of related regulatory matters, class actions and arbitrations concerning Regulation D offerings and other alternative investments.
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