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.
Mark has represented investors, financial professionals, and their firms across the country in over 600 FINRA arbitrations, and in countless SEC, FINRA and State regulatory investigations and enforcement proceedings.
His article, Introduction to Securities Arbitration, was first published in 1999, has been updated four times, and has been downloaded tens of thousands of times, by arbitrators, attorneys and parties.
His enforcement articles – When the SEC Comes Calling and Tips for Responding to an SEC Subpoena are equally popular and an excellent starting point for those who are involved in investigations to gain an understanding of the process, and what to expect during the investigation and possible hearing. For those who are facing an enforcement action, How Do I Respond to a Wells Notice is a helpful overview of the pre-complaint process.