February 19, 2017

Law Firms

Our clients within the legal community have discovered the value of augmenting and reinforcing their firm’s resources and expertise in response to the specific needs of their clientele.

When a particular client or case requires an expansion of your resources or the use of expert testimony, the SEC-FINRA COMPLIANCE Consulting Group can provide you with the flexibility and depth of talent to assist you in delivering the kind of outstanding legal representation that your clients have become accustomed to.

We can provide you with a broad selection of former regulators, accomplished Legal and Compliance professionals and successful business people, all of whom possess the experience, knowledge and manner of presentation to complement your expertise in the securities field.

In these times of proliferating litigation, expanding enforcement activity and sweeping regulatory scrutiny, these are just a few of the types of legal support services that the SEC-FINRA COMPLIANCE Consulting Group can offer you:

  • Interface with Federal and State regulatory authorities and SROs
  • Case preparation and analysis
  • Legal Research
  • Document Review
  • Expert Analysis and Testimony
  • Compliance Assessment and Programs
  • Regulatory filings and reporting
  • Due Diligence in connection with Mergers & Acquisitions
  • Special Investigations and Mandated Reviews

The SEC-FINRA COMPLIANCE Consulting Group has offices in the New York metropolitan area and Florida and Consultants located throughout the United States.  For more information on how we might be of assistance to you and your firm, please contact us today, either by telephone (800-SEC-9906) or email.