About
I am a Securities Regulation legal professional, having worked at the SEC for almost ten years. My exercise is centered on funding adviser and broking-supplier compliance. To that end my practice entails counseling customers on securities -related issues, engaging in mock SEC audits, education registered personnel on various problems involving SEC law, responding to SEC and FINRA deficiency letters, investigations and legal moves and dealing with nation securities law topics.
Location
Legal Issues
Costs
Certificates
No Certifications
Languages
Accepted Jurisdictions
Illinois
Since 1986
