Lawrenceville, GA
Financial markets and services Lawyer at Lawrenceville, GA
Practice Areas: Financial Markets and Services, Wills & Living Wills ... +6 more
OUTCOME: Case Dismissed
The State charged my client with hit and run and with driving on a suspended license. After a review of the evidence and application of the law to the facts, I obtained a dismissal of all of the charg ... es against the client.
OUTCOME: Sanctions in favor of Respondent
Representing the respondent broker, obtained sanctions far short of a permanent bar sought by Enforcement for violations of industry rules.
OUTCOME: Finding for Enforcement
2007 FINRA Discip. LEXIS 2, National Adjudicatory Council 9/28/07 (Office of Hearing Officers 9/12/06)
OUTCOME: Finding for Enforcement
2007 NASD Discip. LEXIS 23, National Adjudicatory Council 7/26/07 (Office of Hearing Officers 8/10/06 - 2006 NASD Discip. LEXIS 36).
OUTCOME: Finding for Enforcement
National Adjudicatory Council 5/11/07 - 2007 NASD Discip. LEXIS 20 (Office of Hearing Officers - 3/16/06 - 2004 NASD Discip. LEXIS 34).
OUTCOME: Finding for Enforcement
Office of Hearing Officers - 9/11/06 (2006 NASD Discip. LEXIS 45).
OUTCOME: Finding for Enforcement
Case E072004087801, Office of Hearing Officers 5/22/06 (2006 NASD Discip. LEXIS 15).
OUTCOME: Finding for Enforcement
Office of Hearing Officers, 2/10/06 (2006 NASD Discip. LEXIS 6) Case No. C07040042
OUTCOME: Finding for Enforcement
National Adjudicatory Council 2/12/05 (Case No. C07040077) 2005 NASD Discip. LEXIS 10.
OUTCOME: Finding for Enforcement
Case C07040074, Office of Hearing Officers, 1/25/05 (2005 NASD Discip. LEXIS 15).
Ad
Transform legal challenges into solutions.
Connect now to review your situation.
