Home > Regulation, Investigations, Law Expert #39594

Regulation, Investigations, Law Expert #39594

I have 40 years of experience, and specialize in the field of securities prosecution and defense with specific knowledge in the areas of Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and internal investigations. I have published on such topics as securities litigation, securities regulation and arbitration. I have testified 15 times on topics such as definitions of securities, adequacy of supervision and churning and suitability issues.

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