Legal Services
DB Johnson Law provides a full suite of legal services to investment advisers, broker-dealers, investment companies, and their registered professionals. We represent clients in SEC, FINRA, and state securities enforcement proceedings, assist with firm registration and ongoing compliance under SEC and FINRA rules, and conduct internal investigations and strategic consultations on advisory and brokerage matters. To ensure you’re audit-ready, we simulate SEC and FINRA examinations through mock audits, and we defend you in litigation and arbitration arising from broker-dealer disputes and other securities-related claims.
Audit Services
DB Johnson Law also offers comprehensive compliance auditing designed to uncover and remediate potential issues before they escalate. Our services include mock SEC and FINRA examinations to test your readiness, the annual reviews required for investment advisers, and due diligence assessments for firms contemplating mergers, acquisitions, or sales. Each audit concludes with clear, prioritized recommendations so you know exactly how to address any gaps.
