Jennifer L. Zordani

Jennifer has a diverse practice that encompasses a wide range of transactional and regulatory matters with a particular emphasis on issues affecting financial service companies.

Her experience includes:

• Providing advice regarding the formation of proprietary trading companies, brokerage firms and investment advisers.
• Preparing governing documents for financial services companies.
• Registering broker-dealers and investment advisers with regulatory authorities, including preparing business plans and compliance policies and procedures.
• Representing purchasers and sellers in the acquisition of brokerage and advisory businesses.
• Providing legal counsel on securities and commodities law compliance and regulatory issues.
• Assisting securities industry participants with market regulation issues, such as net capital compliance and Regulation SHO.
• Advising financial industry participants responding to government and self-regulatory organization investigations.
• Representing financial industry participants defending against government and self-regulatory organization enforcement actions.