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Securities Litigation and Arbitration |
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+ Customer Complaints + Employment + Regulatory And Enforcement Government oversight is an ongoing and increasing concern for the financial services industry. We specialize in (1) assisting clients in obtaining or retaining licensing or registration before self-regulatory organizations, as well as federal and state authorities; and (2) 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. |
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