SECURITIES INDUSTRY PROFESSIONALS
Are you an individual broker, trader, banker, research analyst or other industry related professional? Contact us by e-mail or
at (800) 719-4889 if you are in need of legal advice. This may be a good time to discuss the remedies that may be available
to you if you have a question on a legal matter.
We provide NASD broker-dealer legal advice and representation. Throughout the course of their careers, securities industry
professionals may face accusations of impropriety from their employers, regulators, or investors. Accused stock brokers, NASD
broker-dealers, futures brokers, commodities brokers, and other professionals nationwide are invited to contact us for a
consultation.
Securities industry professionals including registered brokers, traders, bankers, and research analysts may:
If accusations are made, securities industry professionals may be called for an "on the record" (OTR) interview with the NASD,
the NYSE, the SEC, the CFTC, or the NFA. Securities industry professionals who find themselves in this situation need
competent legal representation by an experienced securities lawyer.
Regulatory Investigation Attorneys
We know both what to expect and how to best assist our clients through the process of appearing before regulatory bodies.
The potential penalties associated with accusations of broker fraud involving investments can be significant and onerous.
Brokers who face these penalties should not hesitate to contact us for a consultation.
U 5 Expungement
We can handle your U-5 expungement and defamation action.
Contact us at (800) 719-4889 or by return e-mail if you are a an individual broker, trader, banker, research analyst or other
industry related professional dealing with a securities matter.
We invite you to contact us if you are looking for Boston business lawyers. We strongly encourage you to speak to an
experienced attorney about your business formation issues. You can contact us if you are looking for a Boston business
lawyer by visiting our current website at SMLawGroup.com.
Are you an individual broker, trader, banker, research analyst or other industry related professional? Contact us by e-mail or
at (800) 719-4889 if you are in need of legal advice. This may be a good time to discuss the remedies that may be available
to you if you have a question on a legal matter.
We provide NASD broker-dealer legal advice and representation. Throughout the course of their careers, securities industry
professionals may face accusations of impropriety from their employers, regulators, or investors. Accused stock brokers, NASD
broker-dealers, futures brokers, commodities brokers, and other professionals nationwide are invited to contact us for a
consultation.
Securities industry professionals including registered brokers, traders, bankers, and research analysts may:
- Be charged with inappropriate or illegal activity;
- Be held accountable for losses actually caused by the actions of their firms;
- Receive complaints from private investors who are their customers, or have arbitration complaints filed against them; or
- Be investigated by a self-regulatory organization (SRO) or other regulatory authority.
If accusations are made, securities industry professionals may be called for an "on the record" (OTR) interview with the NASD,
the NYSE, the SEC, the CFTC, or the NFA. Securities industry professionals who find themselves in this situation need
competent legal representation by an experienced securities lawyer.
Regulatory Investigation Attorneys
We know both what to expect and how to best assist our clients through the process of appearing before regulatory bodies.
The potential penalties associated with accusations of broker fraud involving investments can be significant and onerous.
Brokers who face these penalties should not hesitate to contact us for a consultation.
U 5 Expungement
We can handle your U-5 expungement and defamation action.
Contact us at (800) 719-4889 or by return e-mail if you are a an individual broker, trader, banker, research analyst or other
industry related professional dealing with a securities matter.
We invite you to contact us if you are looking for Boston business lawyers. We strongly encourage you to speak to an
experienced attorney about your business formation issues. You can contact us if you are looking for a Boston business
lawyer by visiting our current website at SMLawGroup.com.
Advertising. In accordance with rules established by the Supreme Judicial Court of Massachusetts. This web site must be labeled
"advertising." It is designed to provide general information for clients and friends of the firm and should not be construed as legal advice, or
legal opinion on any specific facts or circumstances. This web site is designed for general information only. Unless and until you enter into a
formal agreement with Attorney Mwangi, he is not your attorney and you do not have an attorney-client relationship with him. All Rights
Reserved.
"advertising." It is designed to provide general information for clients and friends of the firm and should not be construed as legal advice, or
legal opinion on any specific facts or circumstances. This web site is designed for general information only. Unless and until you enter into a
formal agreement with Attorney Mwangi, he is not your attorney and you do not have an attorney-client relationship with him. All Rights
Reserved.
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