We specialize in:

• Assisting clients in obtaining or retaining licensing or registration before self-regulatory organizations, as well as federal and state authorities
• Defending enforcement proceedings (including inquiries, investigations and disciplinary actions) in cases where a firm’s registration and financial well-being, or a financial professional’s career and livelihood, are at stake
• The firm regularly represents clients in investigations and proceedings brought by the SEC, FINRA and state securities regulators