Ami Shah provides a full complement of legal services to meet the needs of securities broker-dealers and other financial services firms in regulatory, compliance, transactional and litigation matters. Having once held the position of general counsel at a financial services firm, Ami understands the importance of reviewing every facet of the client’s particular legal issue to help them achieve a positive outcome from a regulatory and a reputational perspective.
Areas of Focus
Since the financial reform crisis, many federal, state and SRO agencies have passed or proposed a series of rules and regulations. Ami frequently counsels clients regarding proposed rules and business implications and assists clients with understanding new rules and revising existing policies. As outside legal counsel, Ami represents investment advisors, registered representatives, broker-dealers, accountants, pension plans and financial industry firms in all phases of litigation in federal and state courts as well as in nationwide FINRA arbitration and FINRA Department of Enforcement proceedings. She has litigated claims involving the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisors Act of 1940, blue sky laws, tax and antitrust laws, attestation engagements, self-regulatory organization statutes, and employment and partnership disputes.
Government Investigations / Securities
Ami has assisted many broker-dealers, investment advisors, hedge funds, mutual funds and their representatives with SRO, SEC or state examinations, preparing risk assessment control surveys, assessing the adequacy of compliance programs and providing guidance on implementing new rules and regulations. Ami has assisted several firms with instituting new compliance programs that have successfully mitigated risk. She has worked extensively with regulators and examiners nationwide. She assists clients with preparing for regulatory investigations and she has successfully negotiated many settlements that contained the reputational and business impact for companies. Ami also represents and counsels broker-dealers and registered representatives in connection with FINRA and state securities department audits, inquiries, on-the-record interviews and regulatory investigations. She assists clients with compliance programs and manuals; 3012 audits; disclosure statements and third-party solicitor/marketer agreements and filings; and membership agreements and 1017 filings. She is familiar with FINRA, SEC, ERISA and state-specific broker-dealer and investment advisory statutes.
Commercial & Business Litigation
Ami regularly represents clients in business disputes, demonstrating skill in guiding them past business and reputational risks. She is equally skilled in navigating the litigation, arbitration, mediation and appeals processes, exhibiting the breadth and depth of experience to serve large, well-established enterprises and small, entrepreneurial organizations effectively. She is able to provide innovative legal strategies or execute focused litigations within designated time frames and budgets. Ami also knows how to sharpen a contract so it is more likely to withstand potential challenges.
Professional Liability & Services
Ami provides defense for professionals in multiple forums, including courts, before regulatory bodies, and in arbitrations and mediations. She has represented securities brokers, investment advisory representatives, accountants, attorneys, insurance agents and others in professional malpractice and errors and omissions claims.