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Allen & Thomas is experienced in protecting private companies at all stages of their organization’s growth. We pride ourselves on being committed to client success and are here for you, every step of the way. Learn more about what we offer below.

Regulated Financial Professionals

We advise financial firms on the stringent requirements mandated by overlapping federal, state, and self-regulatory organization rules. We develop compliant supervisory policies and procedures, and advise on record keeping and reporting requirements, net capital compliance, and anti-money laundering requirements. Our firm advises brokerage firms through all phases of FINRA cycle examinations, regulatory inquiries, 8210 requests, and will counsel financial professionals at On-The-Record appearances. Registered investment advisors depend on us to assist them through regulatory audits, reporting requirements, and Wells Letter responses. Additionally, we leverage our decades of experience in FINRA arbitration forums for both customer claims and employment disputes.

Practice Areas

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