Joseph D. Carney & Associates, LLC
Building Long-Term Relationships With Businesses And Investors

Comprehensive Services For Corporate Clients

Joseph D. Carney & Associates, LLC, provides comprehensive planning, legal advice and litigation services to corporate clients in Ohio and nationwide. Our clients include individual investors, broker-dealers, investment advisors and financial consultants seeking to obtain access to capital markets.

Providing A Full Range Of Securities Law Legal Services

Our Cleveland-based securities practice involves all aspects of the regulatory and legal components of private and public capital formation, including:

  • Formation of securities, including variable annuities, venture capital and hedge funds
  • Methods of capitalization from public and private sources
  • Initial public offerings (IPO)
  • Regulatory compliance during the issuance and trading of securities, with the SEC and other government agencies
  • Broker-customer relationship issues
  • Multistate and international investment advice
  • Securities dispute resolution, including litigation, mediation and arbitration
  • NASD enforcement actions and SEC sanctions
  • Federal antitrust litigation
  • Drafting, review and implementation of securities agreements

Contact Us For A Complimentary Consultation

Corporate clients, private investors, broker-dealers and financial advisors seeking legal advice and representation in any facets of securities law or litigation are invited to contact Joseph D. Carney & Associates, LLC, for a complimentary consultation.

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