ANNA HADJIKOW is a member of the firm whose practice is focused on structuring and documenting corporate transactions and regulatory programs involving broker-dealers and investment advisers. These have included applications of securities regulations, corporate and limited liability company law, commercial transactions, employment law, mergers and acquisitions of broker-dealers and other securities and investment entities, regulatory examinations, securities arbitration and securities litigation.

Ms. Hadjikow was admitted to the Bar of the State of New York in 1995 and the U.S. District Court for the Southern District of New York in 1997.  She attended Bernard M. Baruch College on a full tuition-academic scholarship, graduating cum laude in 1988, and obtained her J.D. degree from St. John’s University School of Law in 1994.  She is a member of the New York State Bar Association.

Ms. Hadjikow has over 20 years of experience in the formation, structuring, governance, licensing, financing and regulation of broker-dealers and investment advisers. She has represented numerous broker-dealers and investment advisers in virtually every aspect of their business dealings. Her areas of competency and experience include:

  • mergers, acquisitions, reorganizations and consolidations of broker-dealers and investment advisers;
  • reorganizations of affiliated entities;
  • equity and asset purchases by broker-dealers and investment advisers;
  • shareholder and LLC operating agreements;
  • buy-sell agreements;
  • membership applications and regulatory licensing applications and agreements with the SEC, FINRA, and state regulators;
  • systems and procedures for compliance with Federal and state securities laws;
  • “new member applications” and “continuing membership” applications under FINRA Rule 1017 for business changes and expansions;
  • written supervisory procedures (“WSPs”) for new and specialized lines of business;
  • procedures for compliance with State and Federal employment laws;
  • transactions for the financing of new and ongoing business operations;
  • clearing agreements and systems;
  • anti-money laundering programs;
  • regulatory examinations, inquiries, investigations and disciplinary actions;
  • net capital and financial responsibility rules;
  • waivers of statutory disqualifications;
  • registration of BD’s and IA’s with State and Federal regulatory agencies;
  • investment adviser WSP’s;
  • executive employment and separation agreements;
  • “soft dollar” and “brokerage recapture” agreements;
  • net capital problems under SEC Rule 15c3-1;
  • 17a-11 notifications;
  • “FinOp” compliance and supervisory issues;
  • subordinated loan agreements;
  • research reports and other investment-related publications;
  • initial and amended Form ADV disclosures;
  • fidelity bond claims;
  • initial and amended disclosures on Forms BD, U-4, and U-5, and under FINRA Rule 3070;
  • “heightened supervision” programs;
  • “best execution” compliance;
  • expense sharing agreements with unregulated affiliates;
  • joint trading accounts;
  • consulting agreements.

E-mail Attorney Anna Hadjikow at ahadjikow@brunellelaw.com