Pickard & Djinis LLP

Greetings, District of Columbia residents! In the intricate and highly regulated world of finance and investments, having legal counsel that possesses deep, specialized knowledge is not just an advantage—it's a necessity. Today, we're highlighting a distinguished law firm right here in Washington, DC, that stands as a beacon of expertise in securities law: Pickard & Djinis LLP.

Pickard & Djinis LLP is a boutique law firm with a sharp and unwavering focus on securities and corporate law, along with related litigation. For decades, they have been a go-to resource for a diverse range of clients within the financial services industry, including major securities brokers and dealers, mutual funds, investment advisers, banks, corporations, executives, and hedge funds. Their specialty lies in navigating the complex regulatory landscape governed by entities like the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and various state securities regulators.

What truly sets Pickard & Djinis LLP apart is the extensive experience of their attorneys, many of whom have previously served with the SEC or FINRA (and its predecessor, the NASD). This invaluable insider perspective allows them to provide uniquely insightful and strategic advice, whether clients are dealing with regulatory compliance, investigations, enforcement proceedings, or complex securities litigation and arbitration. They don't just interpret the law; they understand the regulatory agencies from the inside out.

Their deep engagement with the evolution of securities law, including active participation in the development of new regulatory regimes like that for Nationally Recognized Statistical Rating Organizations (NRSROs), further solidifies their standing as thought leaders in the field. For any entity or individual in the District of Columbia involved in the securities markets, from large financial institutions to solo practitioners, understanding the unparalleled expertise offered by Pickard & Djinis LLP is crucial for ensuring compliance and safeguarding interests in a constantly evolving regulatory environment.

Pickard & Djinis LLP is conveniently located at 1818 N St NW Suite 515, Washington, DC 20036, USA. This address places the firm in the vibrant Dupont Circle neighborhood, a prime location within the District of Columbia. This central setting offers exceptional accessibility for clients, making it easy to reach from various parts of the city and the broader metropolitan area.

For those relying on public transportation, the Dupont Circle Metro Station (serving the Red Line) is just a short walk away. This provides seamless connections for clients commuting from different parts of DC, as well as from suburban Maryland and Virginia. Additionally, numerous Metrobus routes operate along Connecticut Avenue NW and other nearby streets, offering a wide array of bus options for convenient access.

If you prefer to drive, the Dupont Circle area offers several commercial parking garages and metered street parking spaces. While parking in a bustling urban environment like Washington, DC, can sometimes be challenging, the availability of these facilities helps ensure that clients have options for their visits. The building at 1818 N Street NW is a recognizable commercial address, making it straightforward to locate for those coming for consultations or meetings. This strategic and accessible location underscores the firm's commitment to being readily available to serve their diverse clientele within the financial services industry in the nation's capital.

Pickard & Djinis LLP specializes exclusively in securities law, providing comprehensive legal services that cover the broad spectrum of regulatory, transactional, and litigation matters within the financial industry. Their practice areas are highly focused, reflecting a deep level of expertise.

• Broker-Dealer Regulation: The firm offers extensive advice on all matters related to the formation and operation of broker-dealers. This includes interpretive guidance on SEC, FINRA, and state regulatory requirements (e.g., Net Capital and Customer Protection rules, Regs. NMS, BI, SHO), anti-money laundering, short sales, margin rules, advertising, trade-reporting, and supervisory procedures. They also assist with registration applications, compliance program development, and internal reviews.

• Investment Management: They provide comprehensive securities regulatory services to a wide range of investment management clients, from large SEC-registered investment advisers managing billions in assets to solo practitioners. Services include advice on SEC and state regulatory requirements, assistance with registration and notice filings, preparation and maintenance of compliance programs, advice on "soft dollar" arrangements, and preparing clients for SEC inspections and examinations.

• Securities Litigation and Arbitration: The firm represents public companies, their directors, officers, and employees, as well as broker-dealers, investment advisers, hedge funds, and other market participants. They handle formal and informal investigations, examinations, and reviews by the SEC, FINRA, state regulators, and even criminal investigations by the U.S. Department of Justice. They serve as defense counsel in administrative proceedings, disciplinary proceedings, and civil litigation in federal courts and related appellate litigation, covering issues like financial reporting fraud, market manipulation, insider trading, and suitability. They also represent clients in arbitration forums such as FINRA Dispute Resolution and the American Arbitration Association.

• NRSRO Regulation (Credit Rating Agencies): Pickard & Djinis LLP has over twenty years of experience representing Nationally Recognized Statistical Rating Organizations (NRSROs). They have actively participated in the evolution of this field of law, providing input into legislation (like the Credit Rating Agency Reform Act of 2006), advising on compliance with Exchange Act provisions, assisting with SEC registrations and examinations, and submitting comments on proposed new rules.

Their specialized focus and comprehensive services make them a leading firm for complex securities law matters.

Pickard & Djinis LLP stands out in the legal landscape of Washington, DC, and the national financial sector due to several significant features and highlights:

• Deep Regulatory Expertise: A core strength of the firm is the extensive regulatory experience of its attorneys. Many have held significant positions at key regulatory bodies like the SEC, FINRA (and its predecessor, the NASD). This insider knowledge provides an unparalleled advantage in navigating complex compliance issues, investigations, and enforcement proceedings.

• Specialized Securities Law Focus: Unlike general practice firms, Pickard & Djinis LLP dedicates its entire practice to securities law. This specialization means clients benefit from attorneys who are constantly immersed in the latest developments, nuances, and challenges specific to broker-dealer regulation, investment management, securities litigation, and NRSRO matters.

• Influential in Regulatory Development: The firm doesn't just react to regulations; they actively participate in shaping them. Their involvement in the evolution of NRSRO regulation, including providing input on legislation and codes of conduct, demonstrates their influence and thought leadership in the field.

• Broad Client Base: While specialized, their clientele is diverse, encompassing major securities firms, broker-dealers, investment advisers with billions in assets, hedge funds, and individual financial professionals. This breadth of experience across different client types enriches their understanding of varied market needs.

• Comprehensive Litigation and Arbitration Experience: The firm's attorneys have robust experience representing clients in a wide range of forums, including federal courts, SEC administrative proceedings, FINRA disciplinary proceedings, and various arbitration forums. They handle complex issues from financial fraud to market manipulation, demonstrating their capacity for high-stakes advocacy.

• Strategic Washington, DC Location: Being based in the nation's capital positions the firm at the epicenter of federal financial regulation. This allows for direct and efficient interaction with regulatory bodies and access to the latest policy developments.

These features collectively underscore Pickard & Djinis LLP's reputation as a leading authority in securities law, providing sophisticated and effective legal solutions to their clients.

As a highly specialized and established law firm operating in the complex field of securities law, Pickard & Djinis LLP does not typically offer "promotions" or "special offers" in the way consumer-facing businesses might. The value of their services is derived from their unparalleled expertise, deep industry knowledge, and proven track record in navigating intricate regulatory landscapes and high-stakes litigation.

Instead of discounts, their "offer" to prospective clients lies in the opportunity to receive top-tier legal counsel from attorneys who possess unique insights due to their prior experience with regulatory bodies like the SEC and FINRA. This level of inside understanding can lead to more efficient resolutions, stronger compliance frameworks, and more effective defense strategies, ultimately providing significant long-term value to financial institutions and professionals.

Prospective clients interested in engaging Pickard & Djinis LLP are encouraged to contact the firm directly for a consultation. During this initial discussion, they can explore the specifics of their legal needs, gain an understanding of the firm's approach, and discuss the fee structure, which will be tailored to the complexity and scope of the required legal services. Their commitment is to provide robust and strategic legal representation that protects their clients' interests within the highly regulated securities industry.

To connect with Pickard & Djinis LLP in Washington, DC, local users and interested parties can use the following contact information:

• Address: 1818 N St NW Suite 515, Washington, DC 20036, USA

• Phone: (202) 478-0109

• Mobile Phone: +1 202-478-0109

It is recommended to call the office directly during standard business hours to schedule a consultation or inquire about their specialized legal services. Their team will be able to assist you in setting up an appointment and provide any preliminary information needed to discuss your specific securities law concerns.

For locals in the District of Columbia, especially those involved in the financial sector, Pickard & Djinis LLP stands out as an exceptionally suitable legal partner. In a city that is a global financial regulatory hub, having direct access to a law firm with such a deep and specialized focus on securities law is invaluable. Their attorneys' background, often including experience within the very regulatory bodies they now navigate, provides an unparalleled advantage in understanding the nuances of compliance, enforcement, and litigation in this highly complex field.

Whether you are a broker-dealer seeking regulatory guidance, an investment adviser facing an SEC examination, or an individual involved in securities litigation, Pickard & Djinis LLP offers the precise, expert counsel required. Their commitment to staying at the forefront of securities law evolution, coupled with their strategic Washington, DC location, ensures that local financial professionals and institutions have access to comprehensive and proactive legal support. Choosing Pickard & Djinis LLP means securing a legal team uniquely equipped to protect and advance your interests in the dynamic world of securities.