SEC Compliance

SEC compliance refers to following the rules and regulations of the Securities and Exchange Comission.

Case Study

Corporate Accounting Expert in the Semiconductor Industry

A corporate accounting expert with knowledge of the semiconductor industry was needed for a shareholder derivative suit.

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

SEC Compliance Expert with NASD Rule 11140 Experience

An SEC compliance expert with experience interpreting was needed for litigation regarding securities fraud and violation of SEC Rules.