(717) 232-5000
At Mette Attorneys at Law, our Harrisburg office offers sophisticated legal counsel to financial institutions, broker-dealers, investment advisers, executives, and compliance officers. With decades of experience in financial services law, we help clients navigate regulatory complexities, transactional risk, and high-stakes securities litigation in Pennsylvania and beyond.
State & Federal Securities Compliance
We represent clients in compliance with Pennsylvania securities laws and federal statutes, including the Securities Act of 1933, Exchange Act of 1934, and Investment Advisers Act of 1940. Our services include:
- State Blue Sky registration, exemptions, and broker-dealer filings
- SEC reporting obligations, periodic disclosures, and amendments
- Compliance policies, audits, internal controls, and training programs tailored to broker-dealers and institutions
- Enforcement responses to SEC investigations, state regulators, or self-regulatory organizations
Our approach combines prevention—robust compliance systems and internal controls—with rigorous defense if scrutiny arises.
FINRA Arbitration & Broker-Dealer Representation
Our team represents broker-dealers and individual brokers in FINRA arbitration, including claims involving:
- Unsuitability, churning, misrepresentation, and sales practice disputes
- Arbitration proceedings under FINRA Rules 12200 and 12400
- Regulatory exams, enforcement proceedings, suspensions, and license revocations
We defend against customer claims and FINRA disciplinary actions, advocating for both firms and executives in hearings, negotiations, and settlements. We also assist with licensing matters, registration issues, and membership applications.
Investment Adviser Compliance & Defense
We advise investment advisers on developing and documenting compliance policies, including:
- Form ADV disclosures, private fund reporting, and custody rules
- Proxy voting policies, codes of ethics, and adviser-client agreements
- Internal audits, cybersecurity programs, and anti-money laundering frameworks
If regulatory investigations or enforcement actions emerge—from the SEC, state securities bureaus, or self-regulatory bodies—our team defends advisers in investigations, subpoenas, administrative proceedings, and litigation.
Antifraud Statutes & Investor Litigation
Mette Attorneys at Law regularly defends firms and individuals in complex securities litigation involving federal and state antifraud statutes, including:
- SEC and DOJ litigation under Rule 10b-5, Section 17(a), and state analogues
- Claims for negligent or reckless misrepresentation, omissions in registration statements, or disclosures
- Shareholder derivative suits, class actions, and investor demand claims
Our litigation lawyers implement strategic defense plans that include forensic investigation, expert support, and aggressive advocacy in both state and federal courts.
Why Choose Us
- Integrated capability across securities litigation, financial regulatory compliance, and FINRA defense
- Decades of experience representing brokers, broker-dealers, investment advisers, institutional clients, and senior executives
- Known for high-quality, practical advice that combines prevention, defense strategies, and transactional foresight
- Access to appellate and trial attorneys experienced with federal agency proceedings and Pennsylvania state courts
Contact Mette Attorneys at Law today for proactive and responsive counsel in securities litigation, financial regulatory compliance, and FINRA defense. Our Harrisburg team blends institutional understanding with responsive, refined legal strategies tailored to evolving challenges.