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| Litigation Support Services |
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Through our specific inventory of knowledge in the financial services industry, we have assembled a select group of subject
matter experts (SMEs) that are actively involved in arbitrations and regulatory proceedings before various regulatory forums.
Our SMEs appear both locally and around the nation for arbitrations and regulatory proceedings on a wide variety of subjects
under the following services:
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| Regulatory Investigations/Administrative Proceedings |
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Our SMEs provide consultative assistance involving investigations and administrative proceedings initiated by the SEC, NASD
and state regulatory agencies. Our familiarity with the regulatory process and the practical application of securities and
investment management operations allows us to effectively assist our clients in developing a strategic approach toward resolving
regulatory matters.
Through our specific services, our SMEs provide specific consultative assistance to broker/dealers and investment advisers and
their personnel involving a variety of areas, to include suitability, supervision, regulatory reporting, sales practice violations, trading
issues, insider trading, and advertising violations.
Our SMEs also provide detailed case analysis as well as specific advisory services regarding formal responses to various regulatory
agencies in connection with regulatory proceedings and investigations. Additional services may also include acting as independent
consultants and/or experts in connection with the settlement of charges, or a stipulation and consent order against a broker/dealer
and/or investment adviser.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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| Arbitrations |
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Our SMEs provide consultative assistance involving arbitrations on behalf of broker/dealers and/or investment advisers involving a
variety of areas including general sales practice violations, customer suitability, churning, failure to supervise, mutual fund switching,
margin, breach of fiduciary duty, fraud and negligence.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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| Internal Investigations |
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Our SMEs provide consultative assistance to broker/dealers and investment advisers regarding the implementation and execution of
internal investigations involving suspected and/or potential violations of SEC, NASD and state securities rules and regulations.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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