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Securities
We represent a broad range of entities either solely engaged as a broker-dealer or engaged in this activity as part of overall financial service activities. We represent national and regional investment banking firms, full service brokerage firms, clearing firms, broker-dealer/investment adviser firms, inter-dealer brokers, financial institutions, institutional investment firms, and specialty boutiques. We advise our broker-dealer clients on all aspects of the securities laws, including regulatory, compliance, corporate, and transnational matters. We also represent our broker-dealer clients in regulatory and self-regulatory enforcement investigations and proceedings, securities-related litigation, and arbitrations.
Attorneys
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