About
With over sixteen years of experience supplying approach and support through all ranges of litigation, I actually have a eager instinct for finding creative ways to make contributions efficaciously to felony strategies.
Regulatory Compliance Professional (CRCP) certification provided in December 2016 from FINRA’s Wharton Institute enhances capabilities in protective the financial security of clients with an knowledgeable view of the enterprise s perspective on regulatory projects and an appreciation of vital capital formation goals.
Possesses a deep know-how of anti money laundering policies in domestic and worldwide contexts, cross-border jurisdictional and enforcement challenges, evolving requirements regarding dealer and adviser responsibilities relating to proprietary product services, and policies concerning communications with the public.
Extensive expert witness enjoy which include taking expert depositions and running with professionals to broaden compelling reviews. Substantial first chair trial and appearance enjoy which include multi-day FINRA arbitrations, rankings of hearings before administrative regulation judges, and appearances earlier than state legal professionals preferred Legal Research
Location
Legal Issues
- Stockbroker & Investment Fraud
- Securities Law
- Arbitration & Mediation
- Business Arbitration, Consumer Arbitration, Family Arbitration
Costs
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Payment With Credit Card
Credit cards normal for price retainer functions -
Conditional Fees
Hybrid charge format providing decreased contingency with a schedule of installment bills
Certificates
Wharton - FINRA
Languages
- English
Accepted Jurisdictions
Experience
- Principal
The Investment Advocates
2017
Law Offices of Lee M. Holland, Esq.
2010
Educations
Graduation year: 2016
Graduation year: 1998
Graduation year: 1992
