Scarinci Hollenbeck, LLC

Financial Services & Regulatory Practice

Financial Services & Regulatory Practice

The Financial Services and Regulatory Practice Group’s highly qualified attorneys have decades of experience advising on sophisticated transactions and guiding a diverse clientele through a technical and changing regulatory landscape.

Key Contacts

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Our Approach

The Financial Services and Regulatory Practice Group’s highly qualified attorneys have decades of experience advising on sophisticated transactions and guiding a diverse clientele through a technical and changing regulatory landscape.  Our pragmatic business judgment, strategic planning, and proven expertise in resolving complex problems have won outstanding results for our clients in state and federal civil litigations and in matters before all levels of the SEC, CFTC, FINRA and state and local administrative agencies.

We address each client’s unique business needs with a team approach that capitalizes on the knowledge and insights of our Firm’s seasoned practitioners in compliance, supervision, litigation, banking, cybersecurity and privacy, corporate governance and transactions, insurance, employment, tax and bankruptcy law.  Our unique perspectives on regulatory problem-solving are shaped by a deep and diverse experience—our attorneys have previously served with the SEC, the New York or New Jersey Attorneys General Office, as internal counsel at some of the largest banks, broker-dealers and RIAs, or with private law firms that routinely advise multinational financial institutions.

Our ability to expertly handle transactions, compliance functions, and litigation matters allows us to develop extensive relationships with our clients, and these relationships enhance our ability to deliver tailored legal solutions that drive profitability and growth.

Deals & Transactions

We handle our clients’ transactions efficiently.  Our clients operate in a wide range of industries.  Our diverse experience with their particular businesses and our extensive expertise in compliance and litigation matters have honed our ability to structure deals that protect our clients’ interests and meet or exceed regulatory requirements.

Our services include:

  • Formation and registration of broker-dealers, RIAs and funds
  • Structuring funds tailored to client objectives
  • Advising on venture capital and “seed capital” arrangements
  • Preparing and filing of applications with local, state and federal regulatory agencies
  • Advising on mergers, acquisitions, sales and recapitalizations
  • Advising on private placements of equity, debt and alternative investments
  • Drafting contracts, including non-competition, non-solicitation, vendor and independent contractor agreements
  • Providing written legal opinions regarding proposed transactions


Our Firm regularly advises on issues involving the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Commodity Exchange Act, the Dodd-Frank Act, the JOBS Act, FINRA rules and regulations, and State rules and regulations affecting broker-dealers, investment advisers, insurance companies, hedge funds and their management and registered personnel.  We offer clients risk-management gap assessments that compare present-state compliance with current regulatory requirements in order to reduce regulatory risks and limit potential compliance and financial exposures.  We closely monitor state and federal legal and regulatory developments to ensure that our clients achieve their specific objectives while their interests are protected and provide cost-effective, practical advice on how to meet the requirements of new laws, rules and regulations.

Our services include:

  • Drafting, implementation and review of compliance policies and procedures, including supervisory and operational, cybersecurity, privacy, IT and employment policies and procedures
  • Preparing and conducting client training programs
  • Conducting internal investigations, regulatory examinations and compliance audits
  • Coordinating with client’s preparation for regulatory audits
  • Conducting cybersecurity response team training and “after action” response assessments
  • Providing written legal opinions regarding regulatory obligations and risks

Regulatory Enforcement & Civil Litigation

We understand that almost all business transactions entail risks that can lead to litigation and that even the most sophisticated, well-intentioned businesses face allegations of regulatory violations.  When these pitfalls materialize, our Litigation and Regulatory Practice attorneys work tirelessly with our client’s management and colleagues across our Firm’s numerous practice areas to develop the most effective strategies and defenses possible. Our use of Early Case Assessment (ECA) optimizes client results, and we are experienced with applying “project management” approaches to control legal and other costs in large cases.  We have broad expertise in all phases of litigation proceedings, including document production and discovery, e-discovery management and protocols, motion practice, witness preparation and testimony, preparation of expert testimony and reports, settlement negotiations, seeking injunctive relief, trials and appeals.

Our services include:

  • Challenging decisions by local, state and federal regulatory agencies
  • Defending enforcement actions before regulatory agencies, including “Wells” submissions
  • Litigating complex regulatory and commercial disputes, including multi-party disputes
  • Litigating employment matters, including raiding cases, RIF matters, and EEOC/ADA/FMLA matters
  • Alternative dispute resolution, including commercial, customer and international controversies before AAA, JAMS, FINRA and other forums
  • Conducting internal investigations, including investigations of cybersecurity/privacy breaches, and financial irregularities
  • Advising parties facing the dissolution of a business partnership

Achieving our clients’ business objectives requires clear and open communication, and close coordination with clients also minimizes the anxiety intrinsic to litigation, investigations, regulatory disputes, and remediation of compliance issues.  We partner closely with our clients to develop the strategic plans that will meet their goals efficiently and work tirelessly to implement those plans.  Client results and satisfaction are our paramount concerns.


Different kinds of legal matters require attention from specialized areas of law. You can discover the firm`s practice groups or click here.or if you have no idea where to begin, call 201-806-3364, email or click here.

    The firm`s core practices include:

In addition, Scarinci Hollenbeck, LLC offers a variety of niche, sub-practice groups you can learn more about here.

The firm has several office locations includingLittle Falls, NJRed Bank, NJNew York, NYWashington, D.C.

It depends on the nature of the matter. Scarinci Hollenbeck, LLC represents clients around the world. We service our clients in a large variety of matters. In areas such as Intellectual Property, including trademark, copyright, or patent-related matters, we can service these requests regardless of where our clients are based. However, we predominantly handle legal matters whose jurisdiction is New Jersey, New York, the tri-state metropolitan area, and Washington, D.C. We also have attorneys who are licensed to practice in Connecticut, Florida, Massachusetts, Pennsylvania, and other states. We recommend calling one of our dedicated staff members who can help identify if we have an attorney at the firm that can assist you. Feel free to reach out to us at 201-806-3364.

Scarinci Hollenbeck, LLC routinely serves business owners, corporate entities, leaders, and operators of small businesses and Fortune 500 companies alike.

We are a general practice law firm that services businesses, corporations, and entities. We typically only represent people who own and operate these organizations. However, you are free to call our business development group at 201-806-3364 or email us at A member of our group can direct you to an attorney in our firm that may be able to assist.


Let's get in touch

Form instructions (Please feel free to contact us with any question.)

* The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.

Practice Area Attorneys

Why Choose Us?

Dedicated attorneys

When your livelihood is on the line, having an SEC investigations attorney well-versed in securities law and the ever evolving regulatory landscape is paramount. At Scarinci Hollenbeck, LLC, our dedicated attorneys boast multiple decades of extensive experience handling cases tied to securities investigations.

Dedicated attorneys

We offer strategic

We offer strategic legal counsel that acknowledges the distinct challenges faced by officers, directors, and companies embroiled in SEC, DOJ, or AG investigations.

We offer strategic

Unwavering legal support

Whether you’re dealing with SEC compliance, DOJ inquiries, AG investigations, or related matters, you can count on our unwavering legal support to help you navigate the process and achieve the best possible outcome.

Unwavering legal support

Customer focus

Collaboratively, we work with you to grasp the unique intricacies of your circumstances, adapting our legal strategies to align with your goals.

Customer focus