Experience. Expertise. Effective Legal Representation.

Practice Areas

Securities Litigation

Whether you are a financial institution or an associated person of one that needs to respond to a Wells Notice or is seeking defense representation in connection with a federal, state or SRO regulatory action, or are involved in civil litigation, be it in a a federal or state court, before an administrative law judge or in an arbitration or mediation, the Law Firm of Castiglia-Rubinstein and Associates can help.

Interface with Regulators

The frequency with which financial services firms and their associated persons have to deal with federal and state regulators and the scrutiny that is conducted by those regulators continues to expand and intensify.

State Regulatory Defense

State securities departments have assumed increased regulatory oversight of investment advisers managing under $100 million in assets. NASAA has released an updated series of recommended best practices that investment advisers should consider to minimize the risk of regulatory violations.

Mergers, Acquisitions and Succession Planning

The Law Firm of Castiglia-Rubinstein and Associates in conjunction with its affiliation with the SEC-FINRA COMPLIANCE Consulting Group (SFC) can provide ongoing legal and compliance consulting services to assist you in conducting comprehensive due diligence and ensuring a smooth and successful transaction and transition whether it’s a merger, acquisition, or the result of succession planning.

SEC, FINRA Defense

Some of the most significant enforcement actions brought by the SEC in fiscal year 2016 involved insider trading, violation of the customer protection rules by misusing customer cash and putting customer securities at risk, failure to disclose conflicts of interest to clients, issuer reporting and disclosure matters including actions against companies and executives, market manipulation and microcap fraud.

Compliance Consulting

In conjunction with their affiliation with the SEC-FINRA COMPLIANCE Consulting Group (SFC), the attorneys at the Law Firm of Castiglia-Rubinstein & Associates offer a comprehensive array of legal and consulting services that provide the right compliance, regulatory, and operational risk management strategies for you and your firm.

BD and RIA Start-up and Advisory Services

Our attorneys can assist you in first determining if you or your firm is a broker or dealer as there are types of brokers and dealers that do not have to register with the U.S. Securities and Exchange Commission (“SEC”).