Professional Services

General representation of broker-dealers and investment advisers including the issuance of advice concerning compliance with Federal and State Regulatory Statutes; representation of clients in investigations and enforcement proceedings brought by or before the United States Securities and Exchange Commission and self-regulatory agencies, including FINRA (formerly the NASD), the New York Stock Exchange; litigation of securities and related issues in arbitration, Federal or State Courts; and litigation of issues in arbitration or the court system pertaining to contracts for the purchase, sale and delivery of precious metals.