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Financial Services

The Financial Services industry deals with all the varied legal issues of any service-oriented business, and then adds on top of that a layer of regulation.


Financial Services are one of the most heavily-regulated businesses in existence today. This combination makes having legal counsel at hand an absolute necessity.

Legal challenges facing this industry include dealing with employees and their intellectual capital, compliance with regulation, dealing with customer complaints, in addition to all the standard legal issues any business may face (landlord-tenant, collections, etc.).

Romero Park P.S. has experienced attorneys who have dealt with all aspects of the financial services industry on the side of industry professionals and customers alike. We have been through the complaint, enforcement and investigation processes with the various financial regulatory agencies (including the SEC and NASD) from the standpoint of both professionals and customers, and can advise you on how to navigate these difficult waters.

In the last few years, economic struggles and constant changes in regulation have only intensified the need for legal services in this area. Let us help you stay on top of every legal situation that arises in this area.