Home – The Securities Lawyer
Time 2022-07-27 07:49:05Web Name: Home – The Securities Lawyer
WebSite: http://www.securitieslawyer.us
ID:261339
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212-509-6544 11 Broadway, Suite 615, New York, New York 10004 The Securities Lawyer
Serving Investors and Advisors Nationwide
Practice Areas
Arbitration, Litigation, Mediation
With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.
Investigations, Audits and Exams
Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.
Securities Employment Issues
Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.
Recent Posts
SEC Charges Former Indiana Congressman with Insider Trading
The Securities and Exchange Commission today filed insider trading charges against Stephen Buyer, a former U.S. Representative for Indiana’s 4th Congressional District. According to the SEC’s complaint, after leaving Congress in 2011, Buyer formed a…
Read the Full Press Release
Have a securities law question? Call…
MoreSEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit’s Analysis and Detection Center
The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. Those charged include a former chief…
Read the Full Press Release
Have a securities law question?…
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