Investment Advisor Regulatory and Compliance Matters
Broker-Dealer Regulatory
and Compliance Matters
Regulatory Examinations, Inquiries, and Enforcement Actions
Arbitration and Litigation
Provide Legal and Regulatory Counsel on New Business Initiatives
Legal Agreement Review and Drafting
General Business and Corporate Law Representation
Temporary Counsel and Compliance Assignments
_Securities Law Practice Areas
 

Arbitration and Litigation
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Counsel and represent firms, senior management,
compliance officers, and other employees in customer
and industry arbitration and litigation.

 

Counsel and represent investors in litigation, FINRA and AAA arbitrations, mediations, SIPC (Madoff- type), and other specialized investor claims proceedings.

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