The Best Way to Help a Grandchild With College
If a college student is receiving financial aid, grandparents need to take steps to make sure that their help is not a hindrance.
Full Article New York Times
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
An Essential Budget Query: Is This Spending Aligned with My Values?
Values-based budgeting starts with noticing where your money is going, and then assessing whether that is what’s important to you, a financial planner writes.
Full Article New York Times