Because we prefer to let our work and our experience speak for themselves.
We have represented numerous brokerage firms and regulated professionals in the past, helping them steer clear of SEC investigations or, when that was too late, helping them protect their interests and their future. With our legal representation, professionals have been able to carry on with their daily business without the inconvenience of an SEC investigation slowing them down.
The experience of our team is also above and beyond what other compliance firms can provide. Our firm is filled with former law enforcement agents and investigators who used to help the SEC prosecute a wide variety of financial transgressions. Now they use that experience to help regulated professionals and their brokerage firms navigate the tricky waters of SEC compliance.