Licenses/Registrations: Series 7General Securities Registered Representative Series 6Investment Company Products/Variable Contracts Limited Representative Series 63Uniform Securities... more
Licenses/Registrations: Series 7General Securities Registered Representative Series 6Investment Company Products/Variable Contracts Limited Representative Series 63Uniform Securities Agent State Law Exam Series 66Uniform Combined State Law Exam CaliforniaInsurance Producer--Life-Only, Accident Health, Variable Contracts (License No. 0G08063) California Real Estate Broke... 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.