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what we do / Broker-Dealers

your guide to the complex machinery of securities

Tucker Ellis offers broker-dealer clients sophisticated, comprehensive counsel in corporate, regulatory, litigation, and arbitration matters. Our lawyers practice nationally and have served as senior in-house counsel for clients, government regulators, prosecutors, and defense counsel in the broker-dealer and securities context. Our experience allows us to anticipate client needs, facilitate growth, navigate and mitigate risk, and defend against investigative and litigation threats.

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ling-gwuh ni-gō-tē: the language of business
Perspectives on employee benefits, executive compensation and ERISA litigation to help you attract and retain talent.