Practice Areas

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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.

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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.

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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 Announces Spring 2022 Regulatory Agenda

The Office of Information and Regulatory Affairs today released the Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions. The report, which includes contributions related to the Securities and Exchange Commission, lists short- and long-term…

Read the Full Press Release


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