Practice Areas

Mark has been a securities attorney since the 1980’s and represents investors, brokers, brokerage firm and investment advisers in all securities related matters. His main practice areas are

  • Regulatory Investigations, Examinations and Audits
    • FINRA OTRs, SEC exams, FINRA Enforcement Proceedings, AWCs, U4 and U5 issues, SEC OIPs and Enforcement Actions, as well as assistance with routine and special FINRA audits for net capital issues, AML requirements, WSPs and supervisory reviews, 1017 and MC400 filings.
  • Securities Industry Employment Issues
    • Broker transition, EFL review and negotiation, broker recruiting protocol issues, U4, U5, promissory note litigation, restrictive covenants, garden leave and solicitation issues.