Securities Compliance

Securities compliance is the act of adhering to, and demonstrating adherence to, the set of standards and regulations set forth for the securities indusrty.

Case Study

Securities Investment Compliance Expert

A securities investment compliance expert was needed for a class action securities fraud action involving a financial services investment company.

Case Study

Investment Expert in Securities Lending

An investment expert in securities lending was needed for a breach of contract suit involving breach of fiduciary duty, conversion, and civil theft.

Case Study

Brokerage Compliance Expert in Distressed Debt

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