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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.

SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index

The SEC announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volatility-related indices, which led S&P DJI to publish and disseminate stale index values during a period of unprecedented volatility.

The SEC’s…

The pandemic forced the world to re-evaluate how it works—and FINRA’s……

The pandemic forced the world to re-evaluate how it works—and FINRA’s… http://feedproxy.google.com/~r/Seclaw/~3/in91vdyvEYc/the-pandemic-forced-world-to-re.html #securitiesattorney #securitieslawyer
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Coast-to-coast representation of investors and financial professionals – Securities Lawyer