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Significant Victories & Reported Decisions
Significant Transactions & Other Non-Litigation MattersIndustry ExperienceRepresentative Clients
Significant Victories & Reported DecisionsSignificant Transactions & Other Non-Litigation MattersIndustry ExperienceRepresentative Clients Related Practices
Securities
- For a national brokerage firm facing a million-dollar NASD fine, we stepped in and won dismissal, thanks in part to our prior experience working inside NASD.
- For the NASD (now FINRA) we won dismissal in Boston federal court of breach of contract charges brought by a securities dealer.
