Broker / Dealer

A broker or dealer is an individual or firm which acts as an intermediary between a buyer and seller.

Case Study

Municipal Securities Expert in Broker/Dealer Fraud

A municipal securities expert in unit investment trusts was needed for an NASD arbitration.

Case Study

Brokerage Compliance Expert in Distressed Debt

A brokerage compliance expert with distressed debt experience was needed for an insider trading case.

Case Study

Broker-Dealer Regulations Expert

A broker-dealer regulations expert with knowledge of short sale transactions was needed for a breach of contract case.

Case Study

Securities Brokerage Expert in SEC Rule 144 and 145

A securities brokerage expert with specific knowledge of SEC Rule 144 & 145, was sought for a negligence case alleging reckless misrepresentation and unreasonable delay in action.