Our team is experienced in helping financial services firms and professionals navigate the complexities of regulatory and dispute resolution forums. We are strategically located across the U.S. to maximize service to our clients.
Key TEAM Members
Partner | New York
Craig Haughton
Associate | New York
Rosa Guerrero
FINRA Rule 3290 is set to reshape how broker-dealers oversee outside activities. What changes, what stays the same, and what should firms be doing now? In this short video, partner Craig Haughton shares key takeaways on this significant compliance development.
FINRA Rule 3290
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Partner | New York
Zachary Newman
Partner | New York
Stephen Grable
Associate | New York
Rachel Colao
Counsel | New York
Bill Hennessey
Partner | New York
Craig Haughton
Counsel | New York
Joseph De Santis