Zaitzeff Law, PC advises issuers, broker-dealers, investment advisers and corporate boards on securities matters that demand both technical precision and judgment. The practice covers private and public offerings, disclosure, broker-dealer regulation, and the inquiry, examination, and enforcement processes of the SEC and FINRA — handled directly by senior counsel from our Stuyvesant Falls, NY office.
What we actually do.
Where securities law matters go sideways in Stuyvesant Falls, NY — and across New York.
Private placements that drift outside the safe harbor
General solicitation, accredited verification, and integration questions are often misjudged until the next financing — by which point the issue is hard to unwind.
Public-company disclosure missteps that invite class action attention
Material risk factors, MD&A trend disclosure and Reg FD events are scrutinized after the fact with the benefit of perfect hindsight.
Broker-dealer supervisory and FINRA exam pressure
Books and records, supervision, and AML deficiencies translate quickly into enforcement when not addressed in real time.
SEC and FINRA inquiries that arrive without warning
Wells notices, subpoenas, and exam requests demand calm, senior-driven response — fast.
Bring the securities law matter — we'll tell you where it stands.
A short, candid conversation with senior counsel. No retainer required to talk.
How Zaitzeff Law solves it — directly.
Offering structure and documentation
Reg D, Reg S, Reg A+ and 4(a)(2) private placements, PIPEs, and registered offerings — designed for the actual investor base.
Disclosure counsel for public companies and boards
Periodic reports, 8-K trigger analysis, and bespoke risk-factor and MD&A drafting that anticipates how a plaintiffs' firm will read it.
Broker-dealer and investment-adviser regulation
Form BD / ADV, written supervisory procedures, Reg BI, custody, and AML program counsel.
SEC and FINRA inquiry, examination and enforcement defense
Senior, direct representation through Wells, OIP, and enforcement resolution.
What changes the day we engage.
- Offerings that hold up to investor and regulator scrutiny.
- Boards that understand exactly what they are signing and why.
- Faster, more confident response to SEC and FINRA outreach.
- Senior-attorney attention without big-firm billing overhead.
- Integrated finance, banking and derivatives expertise on the same matter.
Questions clients actually ask.
The practice focuses on regulatory and enforcement matters, including SEC and FINRA investigations. Private securities litigation is referred to trusted trial counsel where the firm continues as substantive co-counsel.
Yes. Many boards and audit committees retain Zaitzeff Law as outside disclosure counsel for periodic reports, 8-Ks and special situations.
Yes — formation, offering documents, ongoing disclosure and adviser registration for private fund sponsors operating in or through New York.
Call (646) 335-6100. Same-day senior engagement, preservation guidance, and a defined response plan within 72 hours.
Stuyvesant Falls, NY — serving issuers and broker-dealers across the Capital Region, Manhattan and beyond.
Often handled together.
Ready to talk through your securities law matter?
Senior counsel, same-day acknowledgment, and a clear next step — from our office in Stuyvesant Falls, NY.