Securities Investigations & Enforcement

By: Evans & Kob, PC  06/18/2014
Keywords: SEC Whistleblower, State Securities Commissions,

SEC, FINRA, FINRA Rule 8210 Requests, State Securities Commission, SEC Whistleblower

Keywords: SEC Whistleblower, State Securities Commissions,

Contact Evans & Kob, PC

Email

Print this page

Other products and services from Evans & Kob, PC

06/18/2014

Investment Adviser Services

Formation and Registration, Regulatory Inquiry and Examination, Internal Investigations and Risk Assessments, Customer Complaint Response, Product Due Diligence, Policies and


06/18/2014

Broker-Dealer Advisory Services

Formation and Registration, Regulatory Inquiry and Examination, Internal Investigations and Risk Assessments, Customer Complaint Response, Product Due Diligence, Policies and


06/18/2014

Business and Corporate Law

Corporate Governance and Entity Formation, Business Advice, Joint Ventures, Mergers and Acquisitions, Energy and Oil and Gas


06/18/2014

Securities

Private Placements, State and National Securities Offerings, Venture Capital, Due Diligence Assistance


06/18/2014

Arbitration and Litigation

Arbitration and Mediation - FINRA, AAA and JAMS, State and Federal Civil Litigation, Administrative and Regulatory Enforcement Proceedings, Alternative Investments