Financial Compliance
Understanding these compliance laws is no simple matter. Each law typically contains hundreds of pages of information and legal jargon, and each can take many hours to read and comprehend. Furthermore, correct interpretation – understanding how, when, and to whom they apply – can be a significant hurdle for any size institution, not to mention developing and implementing solutions to aid compliance. Many small to midsize institutions, who do not always have technical expertise in-house, often struggle with what is required for compliance. Without specialized skills, it is not surprising that many organizations have an incomplete understanding of their duties for meeting compliance. It can be a “hit or miss” process in many cases, resulting in greater scrutiny and even fines and penalties from regulators, including the Federal Financial Institutions Examination Council (FFIEC), the Securities and Exchange Commission (SEC), the Federal Trade Commission (FTC), and other agencies; this is where we come in. As our economic laws continue to change, let our firm keep you safe and walk you through your next financial undertaking.
Litigation
Business Litigation: Every business goes through minor changes and upsets that can cause a ripple in the efficiency of business. However, larger disputes like contract or financing issues may critically dampen your business' prospects. These situations call for legal service capable of achieving the quickest and best resolution. When you visit the Bowe Firm, you can obtain the fast-acting legal assistance you need to get back on track with your life and business.
Commercial Litigation: If your business-related disputes have reached a point where resolution seems impossible, mediation, arbitration, or litigation may be unavoidable. Whether the conflict arises between businesses, with a lender, customer, or among shareholders, having effective, experienced legal guidance can provide you with the edge needed to resolve the situation to your and perhaps each party's satisfaction.
The Bowe Firm, can assist you with the following commercial litigation matters:
Antitrust Issues l Shareholder Disputes l Interference with Business or Contractual Relations l Implied and Express Warranties Misrepresentations l Uniform Commercial Code (UCC) l Contract Disputes
Broker-Dealer Creation and Document Registration
Broker-Dealer Start-up is a painstaking, time-consuming process with no margin for error. The Bowe Firm provides complete turnkey Broker Dealer registration from start to finish. A specialist in Broker Dealer registrations - what better way to deal with the complexities of FINRA member registration than to have the Bowe Firm handle this project for you? The Bowe Firm provides registration of your securities Broker-Dealer in all states, and the consulting to make this complex procedure as efficient as possible. The requirements for Broker-Dealer registration vary from state to state. Let the experts work through this process for you ensuring professional and accurate Broker-Dealer state registration. The Bowe Firm’s registration service will ensure your registration success. Contact us for a quote as each state varies.