My legal practice has always involved the representation of stock market participants, including investors, financial professionals and firms, nationwide. My work includes representation of in connection with FINRA Examinations and Enforcement Proceedings, as well as SEC investigations. I also represent individual brokers from virtually every major firm in their contract negotiations, employment termination, U-4 and U-5 issues. In specialized situations where the facts or law present novel issues, I also represent investors. I have appeared before arbitration panels and regulators in 22 states, have written legal columns for a number of industry publications, been a guest on CNBC, and a speaker at a number of firms and industry conferences. I am also the creator and editor of The Securities Law Home Page (www.seclaw.com), the Securities Law Blog (seclaw.blogspot.com), and The Securities Law Letter, a monthly email newsletter. My social media experience has allowed me to represent content publishers in sponsorship agreements, contract matters, and trademark and copyright disputes.
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