Industries

Professionals

Securities Industry

Top Ranked in Securities/Capital Markets Law and Securities Litigation by U.S. News Media Group and Best Lawyers®.

Bose McKinney & Evans represents local, regional and national brokerage clients in regulatory compliance and trading issues. Members of the Securities Group have assisted broker-dealers, investment advisors, investment bankers, mutual fund companies and private investment companies in compliance, dispute resolution, stockholder and investment suits, and proxy contests. We can advise on privacy programs, represent clients before the SEC, the NYSE, FINRA and state regulators, develop and review compliance manuals, prepare appropriate disclosure documents, prepare customer and clearing agreements and provide assistance with the legalities surrounding new products. Should a merger or acquisition opportunity arise between investment firms, attorneys can counsel our broker clients on the pros and cons of the potential deal.

Contact

Jeffrey B. Bailey
317-684-5311
Office: Indianapolis
E-Mail Address