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TOP 30 Securities regulatory compliance in New York, NY
29 results found
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New York Mutual Underwriters
New York Mutual Underwriters is a reputable insurance agency located at 17 British American Boulevard in Latham, New York, United States. With a focus on providing quality insurance products and services, this institution is dedicated to protecting individuals, families, and businesses from unforeseen risks and liabilities. Their team of experienced professionals strive to offer personalized solutions tailored to meet the unique needs of each client. Whether you are looking for auto, home, life, or business insurance, New York Mutual Underwriters is committed to helping you find the right coverage at competitive rates. Contact them today to discuss your insurance needs and secure peace of mind for the future.
Jordan & Jordan
Jordan & Jordan is a leading financial technology firm based in New York City. Located at 11 Hanover Square, this institution specializes in providing innovative solutions for the financial industry. With a focus on data management, analytics, and technology services, Jordan & Jordan is dedicated to helping clients navigate the complexities of the financial markets. Their team of experts is committed to delivering high-quality services and cutting-edge technology to meet the evolving needs of their clients. Whether you are a financial institution, regulatory agency, or technology provider, Jordan & Jordan offers a wide range of solutions to support your business goals.
Daniels Porco & Lusardi, LLP
Daniels Porco & Lusardi, LLP is a prestigious law firm located at 1 Memorial Avenue in Pawling, New York. Specializing in a wide range of legal services, their team of experienced lawyers is dedicated to providing top-notch representation and guidance to their clients. Whether you are in need of assistance with personal injury claims, real estate transactions, or estate planning, Daniels Porco & Lusardi, LLP is committed to delivering exceptional legal services tailored to meet your individual needs. Trust in their expertise and professionalism to effectively navigate the complexities of the legal system and secure the best possible outcome for your case.
Salerno & Rothstein
Salerno & Rothstein is a reputable financial institution located at 221 Schultz Hill Road in Pine Plains, New York, United States. With a focus on providing top-notch financial services, Salerno & Rothstein offers a wide range of expertise in investment management, retirement planning, estate planning, and more. Their team of experienced professionals is dedicated to helping clients achieve their financial goals and secure their future. Whether you are looking to grow your wealth, plan for retirement, or protect your assets, Salerno & Rothstein is committed to providing personalized solutions tailored to your individual needs. Visit their office in Pine Plains today to start your journey towards financial success.
Weil, Gotshal & Manges LLP
Weil, Gotshal & Manges LLP is a prestigious law firm located at 767 5th Avenue in New York, New York, United States. The firm is known for its exceptional legal services and strategic business advice, serving as trusted advisors to clients on their most critical issues. Recent accolades include the passing of Corporate Governance Legend Ira M. Millstein, the recognition of Drew Tulumello as one of "America's Top 200 Lawyers" by Forbes, and Elizabeth S. Weiswasser being named "Intellectual Property Litigator of the Year" at the 2024 Benchmark Litigation U.S. Awards. Annemargaret Connolly was also honored at the DC Appleseed Center for Law and Justice 2024 Gala.
Meyer & Spencer, PC
Meyer & Spencer, PC is a renowned law firm located at 390 Bedford Road in Pleasantville, New York. Specializing in estate planning, trusts, elder law, Medicaid planning, real estate transactions, probate, and more, our experienced attorneys provide personalized attention to each client. With over 50 years of combined experience, our team is dedicated to helping clients navigate life's changes and ensure financial security for themselves and their families. From simple wills to complex trusts, we offer tailored legal advice to meet your unique needs. Serving clients in Westchester, Putnam, Rockland, Orange, Dutchess, Bronx, and New York counties, we are committed to making a meaningful difference in the lives of our clients and their loved ones. Contact us today to schedule a consultation with one of our Westchester & Putnam County estate planning lawyers.
PPM LAWYERS
PPM LAWYERS is a legal institution located at 50 Main Street, White Plains, New York, United States. Specializing in areas such as Real Estate, Technology, Healthcare, Energy, Business Services, Media, and Hedge Funds, PPM LAWYERS offers expert legal support for companies looking to raise money for their business. Founded with a mission to provide the highest quality private placement memorandums (PPMs) and legal assistance, PPM LAWYERS is dedicated to helping clients navigate the complex securities laws governing their fundraising efforts. With experienced corporate securities lawyers preparing every PPM, clients can trust that their legal needs will be met with professionalism and expertise. PPM LAWYERS also offers services such as SEC and state filings, agreement drafting and negotiation, and business organization and structuring. Clients can expect affordable legal excellence and top-notch service from PPM LAWYERS, as evidenced by the glowing testimonials from satisfied clients. With a focus on exceeding best-practice standards, PPM LAWYERS is committed to providing the most complete, professional, and cost-effective legal services in the industry.
Greenberg Traurig, LLP
Greenberg Traurig, LLP is a prominent law firm located at 54 State Street in Albany, New York. With a strong reputation for excellence in legal services, the firm offers a wide range of expertise in various practice areas including corporate law, litigation, real estate, and government affairs. The team of experienced attorneys at Greenberg Traurig, LLP is dedicated to providing top-notch legal representation and strategic advice to clients in the United States and around the world. With a commitment to delivering exceptional results, this institution is a trusted partner for individuals and businesses seeking high-quality legal services.
Whiteman Osterman & Hanna
Whiteman Osterman & Hanna is a prestigious law firm located at 14 Durkee Street in Plattsburgh, New York. With a team of experienced and skilled lawyers, they provide a wide range of legal services to individuals and businesses in the United States. Specializing in various areas of law, including corporate law, real estate law, and litigation, Whiteman Osterman & Hanna is dedicated to providing top-notch legal representation and guidance to their clients. Whether you are facing a complex legal issue or simply need legal advice, this institution is committed to helping you navigate the legal system with confidence and ease.
Paul Frank + Collins P.C.
Paul Frank Collins P.C. is a reputable law firm located at 186 US Oval in Plattsburgh, New York. With a team of experienced attorneys, they provide a wide range of legal services to individuals and businesses in the United States. Specializing in various areas of law, including corporate law, real estate, litigation, and more, they are dedicated to providing high-quality legal representation and personalized attention to each client. Whether you are facing a complex legal issue or need legal advice, Paul Frank Collins P.C. is committed to helping you navigate the legal system with confidence and success.
Phillips Lytle LLP - Jamestown, NY
Phillips Lytle LLP in Jamestown, NY, located at 201 West 3rd Street, is a prestigious law firm known for its commitment to delivering exceptional legal services. The firm's culture, known as The Phillips Lytle Way, emphasizes efficiency, creativity, and going above and beyond for clients. With a focus on diversity, equity, and inclusion, the firm prides itself on its talented teams offering extensive experience in a wide range of practice areas. The attorneys at Phillips Lytle are known for their world-class talent, providing ultra-responsive service and deep subject matter expertise. The firm is involved in various legal updates, business competitions, and community events, showcasing their dedication to staying at the forefront of the legal profession.
American Cyber Tech
American Cyber Tech is a cutting-edge institution located at 18 Hammond Street in Monticello, New York. We specialize in providing top-notch education and training in the field of cybersecurity and technology. Our expert instructors and state-of-the-art facilities ensure that our students receive the most up-to-date knowledge and skills needed to excel in the ever-evolving world of cyber technology. Join us at American Cyber Tech and take the first step towards a successful career in the exciting field of cybersecurity.
Royal Service Pro Inc
Royal Service Pro Inc is an insurance agency located at 762 5th Avenue, New York, United States. We specialize in providing expert insurance and DMV services to empower businesses and individuals. Our dedicated team offers personalized solutions tailored to your unique needs, ensuring security and compliance in all aspects of your operations. From comprehensive insurance policies to hassle-free DMV processing for commercial vehicles, we cover all bases to safeguard what matters most to you. Our mission is to be your trusted partner in navigating regulatory roads, providing unparalleled expertise and personalized attention to simplify complex processes and ensure compliance.
Law Office of Ruchi Thaker
The Law Office of Ruchi Thaker is a reputable finance and legal institution based in New York, New York, United States. With a focus on providing expert legal services in various areas of finance law, including investment management, regulatory compliance, and securities litigation, the firm is dedicated to helping clients navigate complex legal issues with ease. Led by experienced attorney Ruchi Thaker, the firm is committed to delivering personalized and effective legal solutions tailored to each client's unique needs. Whether you are a financial institution, investor, or business entity, the Law Office of Ruchi Thaker is here to provide top-notch legal representation and guidance.
Global Markets Advisory Group
Global Markets Advisory Group is a leading finance institution located at 85 Broad Street in New York, United States. Our team of seasoned compliance professionals offers regulatory and compliance advice to help your firm navigate the ever-changing regulatory environment and avoid potential pitfalls. We are proudly listed in the Finra Compliance Directory. Additionally, our expertise in regulatory technology enables us to bridge the gap between fintech and regulatory technology. Cloud governance is another area of specialization for GMAG, as we work with major cloud service providers to help financial firms effectively manage their data for business, regulation, and compliance. We are also a participant in the AWS partner network.
KPMG LLP
KPMG LLP, located at 345 Park Avenue in New York, is a finance institution that is dedicated to creating a caring, inclusive, Purpose-led and Values-driven culture. They work with asset management firms, from institutional investors to wealth management, helping them make bold decisions for future success. They also assist the world's largest banks and fintech companies in creating a future that is interconnected, secure, and frictionless for their clients. Additionally, KPMG LLP helps tackle difficult issues in the energy sector, provides meaningful results in the public sector, transforms biotechnology and pharmaceutical corporations, assists insurers with regulatory changes, and ensures public interest by providing objective assurance over data. They help businesses navigate compliance demands and complex changes, create lasting value for responsible growth, and support entrepreneurs in building successful businesses. By signing up, individuals can gain access to personalized content and viewpoints from KPMG leaders and subject matter experts worldwide. Please note that KPMG International Limited is a separate legal entity and does not provide services to clients. For more information about their structure, visit their website.
Harris Beach PLLC
Harris Beach PLLC is a prestigious law firm located at 800 Main Street in Niagara Falls, New York, United States. Partner Tom Garry has recently been appointed as Chairman of the NY 2nd Department Judicial Screening Committee, showcasing the firm's leadership in the legal industry. The firm is known for its expertise in labor and employment law, as evidenced by their recent webinar focusing on legal issues in hiring. Additionally, Harris Beach is at the forefront of combating corporate misconduct, with the Department of Justice offering whistleblowers money to address unethical practices. The firm's Energy Industry Team Leader, Bill Flynn, has been featured in the Albany Times Union for his insights on New York's energy production. In addition to legal services, Harris Beach also offers comprehensive nonlegal consulting services for organizations in various industries, helping clients navigate regulatory compliance and secure their competitive advantage. With a focus on integrating the law into clients' controls and policies, Harris Beach helps streamline compliance programs, clarify data privacy and security mandates, and translate legal obligations into actionable steps.
Harris Beach PLLC
Harris Beach PLLC is a legal institution located at 99 Garnsey Road in Pittsford, New York. Partner Tom Garry has recently been appointed as Chairman of the NY 2nd Department Judicial Screening Committee. The institution focuses on various legal issues, including those related to hiring in the labor and employment sector. They also offer consulting services for organizations in both the public and private sectors, helping them navigate regulatory compliance and other legal challenges. Harris Beach Energy Industry Team Leader Bill Flynn has been featured in the Albany Times Union for his work in New York's energy production. The institution also provides fully-integrated, comprehensive nonlegal consulting services to help clients secure a competitive advantage. Their services include streamlining compliance programs, clarifying data privacy and security mandates, and translating legal obligations into actionable steps.
Danielle M. Rizzo, Harris Beach PLLC
Danielle M. Rizzo, Harris Beach PLLC is a law firm located at 726 Exchange Street in Buffalo, New York. Partner Tom Garry has recently been appointed as the Chairman of the NY 2nd Department Judicial Screening Committee. The firm specializes in labor and employment law, offering webinars on legal issues in hiring. They also assist whistleblowers in combating corporate misconduct and provide guidance on managing the legal, regulatory, and scientific challenges of PFAS. The Energy Industry Team Leader, Bill Flynn, has been featured in the Albany Times Union for his expertise in New York's energy production. In addition to legal services, Harris Beach offers fully-integrated, comprehensive nonlegal consulting services for organizations in various industries. Their strategic consulting services help clients secure a competitive advantage by integrating the law into their organization's controls and policies to streamline compliance programs and clarify data privacy and security mandates.
Sarkis Melanie L
Sarkis Melanie L is a prestigious law firm located at 99 Garnet Street in Rochester, New York. Partner Tom Garry has been appointed as the Chairman of the NY 2nd Department Judicial Screening Committee. The firm specializes in labor and employment law, offering webinars focusing on legal issues in hiring. They also assist whistleblowers in combatting corporate misconduct by offering monetary incentives. Additionally, the firm helps clients navigate the legal, regulatory, and scientific challenges of PFAS. Harris Beach Energy Industry Team Leader Bill Flynn has been featured in the Albany Times Union for his work in New York's energy production sector. Sarkis Melanie L provides fully-integrated, comprehensive, nonlegal consulting services for organizations in both the public and private sectors. Their strategic consulting services help clients secure a competitive advantage by integrating the law into their organization's controls and policies for regulatory compliance. They also offer assistance in clarifying data privacy and security mandates, and translating legal obligations into actionable steps.
Harris Beach PLLC
Harris Beach PLLC, located at 726 Exchange Street in Buffalo, New York, is a leading institution offering comprehensive legal and consulting services. Partner Tom Garry has recently been appointed as Chairman of the NY 2nd Department Judicial Screening Committee, showcasing the firm's expertise and leadership in the legal field. The institution recently hosted a New York Labor and Employment Webinar focusing on legal issues in hiring, demonstrating their commitment to providing valuable insights to their clients. Additionally, the firm is at the forefront of combating corporate misconduct, with the DOJ offering whistleblowers money to help in this effort. Harris Beach also specializes in managing the legal, regulatory, and scientific challenges of PFAS, showcasing their dedication to staying ahead of emerging issues in the legal landscape. The firm's Energy Industry Team Leader, Bill Flynn, has been featured in the Albany Times Union article on New York's energy production, highlighting their expertise in this sector. Harris Beach offers fully-integrated, comprehensive nonlegal consulting services for organizations in various industries, helping clients secure a competitive advantage. Their strategic consulting services help organizations navigate regulatory compliance, data privacy, and security mandates, translating legal obligations into actionable steps to streamline their compliance programs. With a focus on providing tailored solutions to their clients, Harris Beach is a trusted partner for organizations seeking legal and consulting services.
Canal View Financial Advisors
Canal View Financial Advisors is a finance institution located at 15 Schoen Place in Pittsford, New York, United States. At Canal View Financial Advisors, you will find a team that is dedicated to helping you achieve your financial dreams. They take the time to understand your unique goals and aspirations, ensuring a personalized approach to your financial planning. The institution offers a range of services including securities and advisory services through LPL Financial, a registered investment advisor. The team at Canal View Financial Advisors is committed to providing you with the highest level of service and expertise to help you navigate the complexities of the financial world.
Tatko Law Firm
Tatko Law Firm, located at 90 State Street in Albany, New York, is led by Travis, a seasoned attorney with a background in global law firms in New York City. Specializing in complex corporate matters, Travis assists clients with venture-backed startups, contracts, mergers and acquisitions, corporate governance, regulatory compliance, and more. He is also well-versed in securities offerings and equity transactions. In addition to corporate law, Travis handles disputes and litigation related to corporate, contractual, and employment issues, including shareholder disputes. He is licensed to practice in New York and California, as well as several federal courts.
Ik Koo Kang, CPA 강익구 공인회계사
Ik Koo Kang, CPA is a well-established accounting and finance institution located at 35-35 149th Street in New York, United States. Our team offers a wide range of services to help clients secure a solid financial future. We specialize in cutting-edge bookkeeping, accounting, taxation, and financial solutions to drive growth and wealth in our client's businesses and personal lives. As approved Certifying Acceptance Agents, we focus on obtaining US Individual Taxpayer Identification Numbers (ITINs) and staying up-to-date on evolving legislation and technological advancements. Our dedicated team ensures accurate, well-organized financial information for both corporate and personal financial health. We provide expert guidance on tax planning, preparation, interpretation, nonprofit tax planning, regulatory compliance, and more. With a commitment to excellence, we tailor our services to meet the unique needs and goals of each client, prioritizing quality and accuracy to save valuable time and resources.
Broadridge Financial Solutions
Broadridge Financial Solutions, located at 51 Mercedes Way in Brentwood, New York, is a leading institution in the finance industry. As an ATM and finance provider, we offer access to the latest news, analysis, and trends impacting businesses. Our representatives and specialists are dedicated to providing the solutions needed to advance your business. Whether you're looking to speak with a commercial representative or seeking insights from our annual studies on digital transformation, Broadridge has the expertise to help you succeed.
Cross River
Cross River is a leading finance institution located at 711 Bedford Avenue, New York, United States. Our API-driven banking infrastructure is designed to embed financial services across industries while ensuring regulatory compliance for our partners. We prioritize our partners' needs to provide financial technology solutions for everyone, everywhere. As pioneers in faster payments, we offer secure and instant money movement solutions, including FedNow, to support partner growth and advance financial technology milestones. Our modern BaaS platform, in collaboration with Visa, Mastercard, and American Express, enables our partners to build cutting-edge card solutions for their users. With our card rails and APIs, partners can design their own card programs for credit building and a streamlined customer experience. We are committed to addressing the challenges faced by the underbanked and credit invisible population in the U.S. by offering innovative credit-building tools through partnerships like Current and Cross River. Small businesses can access credit and integrate budgeting tools through our issuing BIN sponsorship and processor options. Our support for faster payment rails like Real-Time Payments and push-to-card services helps companies meet the demands of on-demand payments. Trustly and Cross River are driving instant payment adoption with the support of FedNow® Service, while VoPay strengthens its U.S. expansion through our alliance. Cross River also provides financial support for redevelopment projects, launches premier fintech investment banking franchises, and collaborates with industry leaders like Mastercard to adapt to modern banking needs. We pride ourselves on bridging technology support with banking expertise to create customized banking solutions for businesses of all sizes. Recognized by American Banker multiple years in a row, Cross River is dedicated to driving innovation and financial inclusion in the industry.
American Bureau of Shipping
The American Bureau of Shipping is a leading classification society and maritime organization based in New York, United States. Established in 1862, ABS provides services to the marine and offshore industries, ensuring the safety, security, and environmental performance of vessels and offshore structures. With a commitment to excellence and innovation, ABS sets industry standards and conducts research to advance the maritime industry. Located at 1535 Richmond Terrace, the ABS headquarters serves as a hub for technical expertise, regulatory compliance, and industry collaboration.
J.M. Rodgers Co., Inc.
J.M. Rodgers Co., Inc., located at 1975 Linden Boulevard in Elmont, New York, is a family-owned and operated finance institution specializing in Customs House Brokerage and Freight Forwarding, with a focus on Duty Drawback services. Established in 1952, we have over 70 years of experience in the industry and have developed a proven business model that prioritizes regulatory compliance, global logistics, and cost-saving solutions for our clients. Our services include duty drawback programs, customs brokerage, and freight forwarding, all designed to streamline the import/export process and maximize profitability for your business. Our team of experts is dedicated to providing efficient and secure shipping solutions, ensuring timely delivery and transparency across the supply chain.
CONRI Services, Inc.
CONRI Services, Inc. is a premier moving company and storage facility located at 5 Skyline Drive in Hawthorne, New York, United States. With a focus on delivering success through the power of logistics, we offer end-to-end warehouse services designed to bring your products to market. Our modern facilities provide safe and secure storage, while our team handles everything from picking and fulfilling accurate orders to customized packaging and labeling. As a 3PL fulfillment company, we specialize in seamless order fulfillment, ensuring timely shipping and compliance with regulatory requirements. Trust us to handle your e-commerce logistics with precision and efficiency, providing customers with the exceptional shipping experience they deserve. With over 70 years of industry expertise, CONRI Services is a trusted family-owned business known for delivering exceptional solutions in multiple industries and markets. Whether you need short- or long-term storage, kitting and assembly solutions, or efficient import and export services, CONRI is here to exceed your expectations and support your growth. Experience the power of seamless third-party logistics with CONRI Services, where excellence, trustworthiness, and professionalism are our top priorities.
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