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Lawrence Kamin has specialized in representation of the securities industry since the stock market crash of 1929.
Clients come to us for our broad range of financial services industry expertise. We have years of experience advising on the formation, organization, operation, capitalization and compliance procedures of broker-dealers, investment advisors and other financial service firms. We’re called upon to assist companies on various supervisory and compliance matters, including the design and implementation of compliance systems and internal controls, and counsel on the requirements of the federal and state securities laws and the intricate rules and regulations of self-regulatory organizations and exchanges.
We also represent broker-dealers, investment advisors and their affiliated personnel in regulatory compliance matters, including investigations and enforcement proceedings. Many of our securities attorneys have backgrounds working at the Securities and Exchange Commission or various stock markets and exchanges, and all have worked with regulators for decades. This experience often provides a twofold benefit: We can anticipate the focus of regulatory inquiries, and our credibility with regulators allows us to achieve prompt and satisfactory resolutions.
Lawrence Kamin’s Litigation attorneys are crucial to the success of our Securities practice, representing broker-dealers, registered representatives and investment advisors in securities litigation, arbitration and mediation.
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