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Financial Services Regulation Attorneys in Greensboro, North Carolina

The Law Office of B. Tyler Brooks, PLLC, offers extensive experience advising financial services clients with a range of issues they may encounter in regulatory compliance.  We provide comprehensive advice to financial institutions including investment advisers, private equity firms, venture capital firms, and hedge funds.  We are trusted advisors, helping our clients stay informed of new regulatory initiatives, implement and maintain effective compliance programs and controls, and monitor and respond to new risks.

We offer representation on a full range of matters that relate to financial services regulation, including:

  • Securities Law Compliance

  • SEC Registration

  • Enforcement, Investigation, and Supervisory matters

  • Regulatory Disputes

  • Data Privacy and Cybersecurity

  • Securities and Financial Services Litigation