Pickard & Djinis LLP

For financial industry participants, from large broker-dealers and investment advisers to individual professionals and smaller firms, navigating the intricate web of federal and state securities regulations can be exceptionally challenging. The landscape is constantly evolving, governed by bodies such as the Securities and Exchange Commission (SEC) and FINRA. In Washington, D.C., the epicenter of U.S. financial regulation, specialized legal counsel is not just helpful—it’s often essential. Pickard & Djinis LLP stands as a long-established boutique law firm dedicated to providing comprehensive securities regulatory, compliance, and enforcement defense services.

This article is designed to provide residents and financial professionals in the District of Columbia with a clear, engaging, and informative overview of Pickard & Djinis LLP. We will delve into their accessible location in D.C., the highly specialized range of services they offer, and key features that highlight their deep expertise and reputation within the securities law field. While this content is based on publicly available data, prospective clients are always encouraged to conduct their own thorough due diligence, including direct communication with the firm, to ensure their services align perfectly with your specific regulatory and legal needs.

With a history spanning over thirty years, Pickard & Djinis LLP has cultivated a reputation as "thought leaders in the field of securities regulation" and "zealous advocates" for their clients. Their deep experience, often stemming from previous roles within regulatory bodies, positions them uniquely to address the complex challenges faced by those operating within the financial sector.

Pickard & Djinis LLP maintains a highly strategic and accessible office in Washington, D.C., a crucial advantage for a firm specializing in securities law given its proximity to major federal regulatory bodies. Their office is located at:

1818 N St NW Suite 515, Washington, DC 20036, USA

This address places the firm in the vibrant Dupont Circle and Golden Triangle neighborhoods, a prominent area in D.C. known for its concentration of law firms, financial institutions, and professional organizations. The location on N Street NW offers excellent accessibility for clients. It is very well-served by public transportation options, including multiple Metro bus lines and convenient proximity to several Metro stations. The Dupont Circle Metro Station (Red Line) is within easy walking distance, as are Farragut North (Red Line) and Farragut West (Orange, Blue, Silver Lines) stations. This robust public transit network makes it highly convenient for professionals and businesses located throughout the District and the wider D.C. metropolitan area to reach the firm without the complexities of navigating downtown traffic and parking.

For those traveling by car, the Dupont Circle area provides a variety of parking solutions, including metered street parking and numerous commercial parking garages. While parking in a bustling urban environment like D.C. always benefits from pre-planning, the options are generally sufficient. The firm's central D.C. location is not just about convenience; it provides direct access to federal agencies like the Securities and Exchange Commission (SEC) and FINRA, which is indispensable for a practice deeply involved in securities regulatory matters, allowing for efficient engagement with regulatory processes and personnel.

Pickard & Djinis LLP is a boutique law firm with a highly specialized focus on securities law. They provide a comprehensive suite of services to a wide array of financial industry participants. Their core practice areas include:

• Broker-Dealer Regulation: The firm advises on all matters related to the operation of a broker-dealer. This includes assistance with SEC and FINRA registration, compliance with capital rules, supervision requirements, sales practices, anti-money laundering (AML) programs, and other operational and regulatory obligations.
• Investment Management: They provide comprehensive securities regulatory services to various investment management entities. This ranges from SEC-registered investment advisers managing billions in assets to solo practitioners. Services include advice on SEC and state regulatory requirements, internal operations, conflicts of interest, client relationships, portfolio management, trading issues, custody, privacy, recordkeeping, and other compliance matters. They also assist with registration, notice filings, compliance program development, and advice on "soft dollar" and directed brokerage arrangements.
• Securities Litigation and Arbitration: Pickard & Djinis LLP represents public companies, their directors, officers, employees, broker-dealers, investment advisers, hedge funds, alternative trading systems, accounting and legal professionals, and other securities market participants. They handle formal and informal investigations, examinations, and reviews by regulatory bodies such as the SEC, FINRA, state securities commissions, and other self-regulatory organizations (SROs). This includes defense against allegations of market manipulation, accounting fraud, unregistered securities offerings, insider trading, and more. They also represent clients in securities arbitration and civil litigation.
• NRSRO Regulation: With over twenty years of experience, the firm specializes in representing Nationally Recognized Statistical Rating Organizations (NRSROs). They have been actively involved in the development of the regulatory regime for these credit rating agencies, working with industry members, policymakers, and regulators.
• SEC and FINRA Enforcement Defense: A significant portion of their practice involves defending clients in enforcement actions brought by the SEC, FINRA, and state securities regulators. This includes responding to subpoenas, preparing for testimony, negotiating settlements, and litigating cases when necessary.
• Regulatory Compliance: Beyond specific enforcement defense, the firm assists clients in developing, implementing, and maintaining robust compliance programs designed to prevent violations of securities laws and regulations. This includes conducting mock compliance audits and assisting with annual compliance reviews.
• Public Policy and Advocacy: The firm actively participates in shaping securities regulation by submitting comments to the SEC and Department of Labor (DOL) on proposed new rules and rule changes, and providing assistance with public testimony for SEC and Congressional hearings.

This highly specialized and comprehensive list demonstrates the firm's deep expertise in navigating the complex world of securities law, making them a crucial resource for financial entities and professionals in the District of Columbia.

Pickard & Djinis LLP stands out in the Washington, D.C. legal landscape due to several distinctive features and highlights:

• Deep Specialization in Securities Law: The firm's exclusive focus on securities regulation, compliance, and enforcement defense is its most prominent feature. This specialization means clients benefit from an exceptional depth of knowledge and experience in this highly complex and constantly evolving field.
• Regulatory Background of Attorneys: A significant highlight is that many of the firm's attorneys were previously associated with the SEC or FINRA (and its predecessor, the NASD). This direct experience within regulatory bodies provides them with invaluable insight into how regulators operate, think, and investigate, offering a unique advantage in representing clients before these agencies.
• "Thought Leaders" in the Field: The firm has a reputation as "thought leaders" in securities regulation. This is evidenced by their active participation in submitting comments to the SEC and DOL on proposed rules, and their involvement in public testimony, demonstrating their influence and expertise in shaping regulatory policy.
• Zealous Advocacy: Alongside their thought leadership, the firm is known for being "zealous advocates" for their clients. This indicates a strong commitment to aggressively defending their clients' interests, whether in formal investigations, enforcement actions, or litigation.
• Comprehensive Client Base: While specialized, their client base is broad, including broker-dealers, investment advisers, independent research firms, NRSROs, and providers of financial information and services. This showcases their versatility within the securities sector.
• D.C. Location Advantage: Being based in Washington, D.C., directly benefits clients. It provides close proximity to the SEC, FINRA, and Capitol Hill, facilitating direct engagement with regulators and policymakers, and staying abreast of the latest regulatory developments.
• Long-Standing Reputation: With over thirty years in operation, the firm has built a solid and respected reputation within the financial and legal communities for their expertise and integrity in securities law matters.

These highlights collectively position Pickard & Djinis LLP as a premier choice for any entity or individual requiring sophisticated legal counsel in the realm of U.S. securities regulation and enforcement.

Based on publicly available information, Pickard & Djinis LLP, like most highly specialized and sophisticated law firms focusing on complex regulatory and litigation matters, does not advertise "promotions" or "special offers" in the consumer retail sense. Their fee structures are typically aligned with the specialized nature of their services and the specific needs of their clients, who are primarily financial industry participants.

Legal fees in areas such as securities regulation, compliance, and enforcement defense generally involve detailed hourly billing for the attorneys' time, given the complexity, duration, and unpredictable nature of investigations, regulatory responses, and litigation. Some engagements might involve a retainer fee upfront to secure the firm's services, against which hourly work is then billed. For specific compliance projects or advisory services, flat fees might be negotiated if the scope of work is clearly defined.

For financial professionals and firms in the District of Columbia considering engaging Pickard & Djinis LLP, the most appropriate course of action is to directly contact the firm. During an initial consultation, potential clients can discuss their specific legal needs, and the firm will then be able to outline their proposed fee arrangements. This direct communication ensures transparency regarding costs and allows both parties to agree upon a suitable financial understanding for the legal services to be provided.

For financial industry participants in the District of Columbia and beyond seeking specialized legal counsel in securities law, Pickard & Djinis LLP can be reached through the following contact details:

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

Phone: (202) 478-0109

Mobile Phone: +1 202-478-0109

The availability of both a primary phone line and a mobile number offers clients multiple accessible channels to initiate contact. When reaching out, it is advisable to have a clear and concise summary of your specific securities law inquiry prepared. This will assist the firm in quickly understanding your needs and determining how best to assist you or schedule a consultation. Given their location in a central D.C. business district, it's also a good practice to confirm their specific office hours when you call. For highly specialized areas like securities law, establishing clear and effective communication from the outset is crucial, and these contact details provide the direct avenues for initiating that vital first step with Pickard & Djinis LLP.

For financial industry professionals and institutions operating within the District of Columbia and nationwide, Pickard & Djinis LLP stands out as an exceptionally suitable and highly specialized legal partner. Their singular focus on securities regulatory, compliance, and enforcement defense means that local clients grappling with the complexities of the SEC, FINRA, or other regulatory bodies can access a depth of expertise that is rarely found in general practice firms. This specialization is particularly valuable in D.C., where federal financial regulation is a pervasive and constantly evolving force.

The firm's strategic location at 1818 N St NW in Washington, D.C., offers unparalleled advantages. Its proximity to the Securities and Exchange Commission, FINRA, and Capitol Hill is not merely convenient; it provides the firm with direct access to the regulatory pulse, enabling them to stay ahead of new rules and policy shifts. This geographic advantage, combined with the fact that many of their attorneys have prior experience working for these very regulatory bodies, provides local financial entities with insights and a strategic edge that can be crucial in high-stakes compliance or enforcement matters.

Furthermore, Pickard & Djinis LLP’s reputation as "thought leaders" and "zealous advocates" in the field underscores their commitment to providing not just legal advice, but also strong, proactive representation. Whether a local broker-dealer needs guidance on new compliance rules, an investment adviser faces an SEC inquiry, or a financial professional requires defense in an arbitration, the firm's concentrated expertise ensures that clients receive sophisticated and effective counsel tailored to the unique demands of the securities industry. For any financial market participant in the District of Columbia seeking specialized, experienced, and strategically located legal support for their regulatory and enforcement challenges, Pickard & Djinis LLP is a highly compelling and suitable choice.