Im in the middle of several projects right now, but eager to assist individuals and... more
Im in the middle of several projects right now, but eager to assist individuals and firms in the financial services industry. Subject to check for any conflict of interest, I am available to assist in defense of regulatory inquiries and civil litigation and to advise generally on licensing and compliance matters, especially in the State of Florida. My bio follows: Mike Underwood was a key offi... view profile
Richard Serafini has an extensive background in representing persons and businesses... more
Richard Serafini has an extensive background in representing persons and businesses in white collar, enforcement, and complex civil cases. Mr. Serafini is particularly experienced in jury trials having tried complex cases throughout the United States. The industries in which Mr. Serafini has represented clients include securities, health care, banking, education, and energy. He is also very ... view profile
I have been actively practicing law since 1996, and have been deeply involved in the... more
I have been actively practicing law since 1996, and have been deeply involved in the legal system since 1991. I believe in excellent client communication and passionate dedication to client interests. I have worked extensively in both the state and federal court systems. Bottom line: I practice what I preach. I believe that, as an attorney, I need to ensure that the legal system is geared towa... view profile
Financial markets, like NASDAQ, serve as clearing houses for stock sales and trades of publicly owned corporations. The financial markets and services industry is carefully regulated because there is a large volume of daily transactions, with substantial amounts of money involved. Ample room exists for system abuses and simple human error. Financial markets and services attorneys assist in stockholder and investor lawsuits, securities-related class actions, regulatory investigations and enforcement actions, private proceedings, broker-dealer claims, and actions involving tender offers and proxy contests. If you own stock in a publicly held company and have a concern or issue, a lawyer with a background in financial markets and services will be able to advise you.