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Securities Regulatory Matters

It is often said that the securities industry is the most heavily regulated industry in the United States.  If it is not, it may soon become so.  Stockbrokers and brokerage firms are subject to regulation by each state in which they are registered, as well as the Securities and Exchange Commission (SEC) and Financial Regulatory Authority (FINRA).

Marc has assisted clients with inquiries from the SEC, FINRA and its predecessor, NASD, and several different states, but mostly Florida.  Marc assists stockbrokers in the sometimes arduous registration process caused by an indiscretion or two in their past.  Marc doesn't judge.  He's received a couple speeding tickets himself.