Welcome to Gusrae, Kaplan, Bruno & Nusbaum PLLC
Gusrae, Kaplan, Bruno & 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.
Securities Blog
- Suitability Issue -- SunTrust Settles $1.44 Million Another settlement was announced this week from the Financial Industry Regulatory Authority (FINRA) and it carries a high price. SunTrust Investment ....
- More Info, Longer Shelf Life, As SEC Gives BrokerCheck® Go-Ahead for Expanded Public Records The Open Book The old saying "play by the rules," takes on new meaning in the compliance world as brokers are under more and more scrutiny by ....
- Done Deal -- Former Deutsche Bank Broker Permanently Barred The Securities Lawyer Blog has posted previously on brokers who have paid the ultimate price for creating and allowing market manipulations and other ....