Brokerage Compliance

Brokerage compliance is the act or process of complying to a desire, demand, proposal, or regimen or to coercion by a firm that acts as an intermediary between a purchaser and a seller.

Case Study

Brokerage Management Expert in Securities Trading

A brokerage management expert with large brokerage firm and risk management experience was needed for a professional malpractice dispute.

Case Study

Brokerage Compliance Expert in Distressed Debt

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