Areas of expertise

Securities Law

Carlile Patchen & Murphy LLP has one of the most experienced securities law practice groups in the state of Ohio. We are proud to be a nationally recognized leader in the field of securities regulation and recruiting law. Our securities attorneys provide counsel to broker-dealers, investment advisers, registered representatives, banks, and issuers of securities. We have represented numerous small, regional, and national, securities and investment firms, both public and closely held companies to ensure they meet securities compliance standards in Ohio.

Empower your investment firm with CP&M LLP's top-tier securities law services. Ensure compliance, navigate litigation, and more.

Our Securities Law services include:

  • Broker-dealer compliance and licensing
  • Investment advisory compliance and licensing
  • Public and private offerings
  • Litigation and arbitration
  • Recruitment and employment law

Members of our Securities Law Practice Group have appeared in federal and state courts and arbitration proceedings across the country. Additionally, we have participated in state and local bond offerings, private placements, initial public offerings, periodic reporting documentation, going-private transactions, mergers and acquisitions and venture capital transactions. We offer the strength of a national practice with the benefit of personalized service.

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Broker-dealer Licensing, Compliance and Regulation

Few businesses are more closely regulated than those involved in the purchase and sale of securities. Broker-dealers and their registered representatives are subject to scrutiny by the Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC) and the Ohio Division of Securities. 

For more than 40 years, Carlile Patchen & Murphy LLP has helped clients through the rigorous process of securities regulatory compliance. Our thorough technical knowledge of state and federal securities laws, creativity in structuring transactions, and experience in negotiating transactions with investment bankers, institutional investors, and venture capitalists results in compliance and innovation in executing your business concept.

Investment Adviser Licensing and Regulation

Carlile Patchen & Murphy LLP has helped clients through the rigorous process of regulatory compliance. With a significant understanding of the regulatory audit process, we have developed a list of items and records subject to audit and can perform mock audits at your location to ensure that you’re ready.

Raising Capital with Public & Private Offerings

Raising capital is one of the most difficult tasks facing the privately held business, but it is also one of the most critical. The extent to which an entrepreneur can raise capital is often the difference between the success and failure of a business. An infusion of capital into a business in the form of an equity or equity-equivalent investment provides more than additional cash to the business; it also improves the borrowing base for securing credit.

Learn about additional ways our Business Law Group can help your business.

Securities Litigation and Arbitration

The effective defense of securities claims brought against the financial services industry and its representatives requires experience with the industry and these kinds of securities litigation claims. Broker-dealers across the country have relied upon Carlile Patchen & Murphy LLP attorneys to successfully defend claims against their representatives. Our securities litigation team represents broker-dealers, registered representatives, and investment advisors in cases arising from the sale of securities. We regularly appear on our clients’ behalf in the FINRA and American Arbitration Association (AAA) arbitration forums, as well as state and federal court.

Recruitment and Employment Law

With increasing frequency, stockbrokers and investment advisors leave their firms for competitors in search of greener pastures. However, these moves are fraught with legal risks for all the parties involved. Many registered representatives are contractually prohibited from soliciting their clients following a resignation. Most representatives are forbidden from removing client files or records. With so much at stake, it’s not unusual for a suit to be filed shortly after the resignation occurs. Our firm regularly represents broker-dealers and registered representatives in these kinds of actions.

How can we help you today?

Give us a call or send a message with any inquiries and legal questions.


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