Mr. Howard represents financial services firms, public companies, and individuals during investigations and litigation initiated by the United States Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other federal and state securities regulators. He represents clients in joint investigations and actions by securities regulators and criminal authorities investigating potential civil and criminal violations of the securities laws. Mr. Howard also represents clients in civil litigation and arbitration involving the securities laws.
Mr. Howard counsels broker-dealers and investment advisors regarding compliance system design and review, regulatory registration issues, transactional disclosure issues, and customer privacy. He provides advice to securities firms, banks, investment advisors, and public companies on compliance with financial regulations and strategies to avoid regulatory problems.
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