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713-652-5044
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Securities Law Practice Includes:
 | Public and Private Financing |
| Regulatory Audits and Compliance Audits |
| Securities Arbitration and Litigation |
| Investor Complaints |
| Commodity Futures Trading Commission (CFTC), National Futures Association
(NFA), Futures Commission Merchants, Associated Persons, Principals,
Brokers |
| Securities and Exchange Commission (SEC),
Financial Industry Regulatory Authority (FINRA), Broker-Dealer Registration
and Compliance, CRD, Focus Reports |
| Securities Offerings |
| Practice includes Representation of
Broker-Dealers and Brokers, Litigation and Arbitration |
| Mergers and Acquisitions
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