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
 

Regulatory Examinations, Inquiries, and Enforcement Actions
...........................................................................................

Counsel and represent Clients in examinations and regulatory
and enforcement actions by SEC, FINRA, exchanges, and
states.

Assist Clients with examination and deficiency letter responses.

Counsel on examination preparation, design and conduct mock
examinations.

Advise on books and records issues; design and conduct
reviews.
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