Regulatory Settlement Allows Clients to Continue Operations

Lawrence Kamin defended a broker-dealer and its compliance and trading personnel in a self-regulatory organization investigation involving rapid order entry. Our attorneys negotiated undertakings into the settlement that satisfied regulatory concerns, allowing the broker-dealer and its personnel to maintain their licenses and continue in business.

Results content provided on this page is intended to be representative of the types of client matters Lawrence Kamin attorneys have handled and the legal expertise our professionals possess. Past performance is no guarantee of future results.

Lawrence Kamin maintains this website to provide general information about its services and legal expertise. While we try to keep the information timely and accurate, we make no guarantees. We make every effort to correct errors brought to our attention. Full Disclaimer
† Select attorneys have received this recognition