Regulatory and Compliance
Englander Fischer’s broker/dealer and investment adviser Regulatory and Compliance group is comprised of several attorneys who work closely with our clients to help them maintain compliance in an ever-changing regulatory landscape. As the importance of transparency rises, and the costs of non-compliance with laws and regulations increase, businesses everywhere strive to adapt to the growing pressure from regulatory bodies.
Our clients come to us to understand their responsibilities, manage risk, lessen the impact of complex regulatory rules on their transactions or day-to-day operations, and represent them before regulators in examination, inquiry and enforcement matters, should they arise.
With our extensive knowledge of state, federal and self-regulatory organizations (SRO) securities industry regulations, we are well positioned to help our clients deal in successful and innovative ways with regulatory and compliance issues.
Section Chair: Dionne Fajardo

Our Approach
Our lawyers confidently shepherd cases through pleadings, discovery, mediation, trial and appellate processes. Because business disputes are financially draining, we always explore and work toward resolution whenever possible. Better than 90% of our cases are settled before trial. In every case, we tailor our strategy according to our clients’ needs and actively discuss and pursue ways to resolve a claim as soon and as often as possible.
Our firm is committed to four non-negotiable cultural practices: Quality Work, Collegiality, Respect and Courageous Professionalism.
quality work
collegiality
RESPECT
Courageous Professionalism
Our attorneys are prepared to:
- Communicate, educate, and train on securities compliance issues
- Design, implement, and monitor effective compliance, programs, procedures, and practices
- Direct and perform internal investigations to detect potential violations of legal and regulatory requirements by an organization’s employees and representatives
- Perform mandatory compliance reviews/annual audits and risk and conflict assessments
- Draft agreements and disclosures documents
- Advise and assist with initial registration applications and ongoing registration amendments and filings
- Handle regulatory inquiries, routine and for cause examinations, and enforcement actions
- Represent organizations and registered representatives in business combinations and transitions
- Help ensure compliance with rules and regulations of securities industry regulators including:
- Securities and Exchange Commission (SEC)
- Financial Industry Regulatory Authority (FINRA)
- Municipal Securities Rulemaking Board (MSRB)
- State Securities and Insurance Regulators