Welcome to Gusrae Kaplan Nusbaum PLLC
Gusrae Kaplan Nusbaum is an AV rated law firm founded more than thirty years ago by a Chief Attorney of the U.S. Securities and Exchange Commission's New York Enforcement Division. Current members of this law firm include a former General Counsel of the New York Mercantile Exchange, a former General Counsel of an NASD member broker/dealer and a former in-house attorney of an NYSE member broker/dealer. Other members of the firm include arbitrators certified by the National Association of Securities Dealers, National Futures Association and the American Arbitration Association.
This law firm brings decades of collective experience to each matter entrusted to us. Our clients include financial institutions, broker/dealers, investments advisors, trading firms, hedge funds, investors, and public and private companies. We invite you to examine our links to Practice Areas for further description of our engagements and professional services. Should you wish to speak with one of our attorneys, please feel free to use the Contact Us link.
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Securities Blog
- SEC Files Fraud Action Against Company Trading in Life Settlements In a continuing investigation, the Securities and Exchange Commission (SEC) announced earlier this month that it has charged three executives, along ....
- FINRA Looks Back at 2011 -- Part Two Last week, we posted the first part of our summary of FINRA's year-end review of its efforts in various areas of enforcement. This week we bring you ....
- FINRA Looks Back at 2011 As 2011 comes to a close, the Financial Industry Regulatory Authority (FINRA) has issued a look-back at the year. The agency posted some interesting ....