SEC Wells Notice attorney
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  • Overview of the SEC Wells Notice Process

    January 13, 2016 Comments (0) Blog

    What is a Wells Notice?                                                                                                                      A Wells Notice is a letter from the Securities and Exchange

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  • Overview of Securities Employment Litigation

    July 12, 2012 Comments (0) Blog, Securities Fraud

    Licensed financial professionals, registered with FINRA, can face a variety of legal actions that can affect their ability to change jobs or even continue in their profession.  This post provides a quick summary of types of claims often made in the broker-dealer/financial advisor context and how the outcome of the

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