BlogLine
FINRA Expels Broker-Dealer for Numerous Violations of Reg BI and FINRA Rules
6/15/23
Financial Services
Reach and Depth
FMG's Financial Services Interdisciplinary Team represents clients ranging from banks to money-center financial institutions, including commercial banks and savings institutions, community banks, finance companies, credit card issuers, trust companies, investment advisors, broker-dealers, credit unions, mortgage originators, and insurance companies, in a myriad of matters throughout the country.
Our team has a comprehensive understanding of the financial services industry and their practice includes a number of sub-specialties including accountants and financial professionals, registered representatives and investment advisors, broker-dealers and Registered Investment Advisors (RIA). FMG’s lawyers represent financial institutions, their senior executives, brokers and other registered personnel in securities arbitration, litigation and regulatory matters. Our team also has experience in emerging areas of law such as data security and privacy issues, financial elder abuse, and guidelines issued by the Consumer Financial Protection Bureau.
Andrew D. Iles
Senior Counsel
Los Angeles – Orange County, CA
Sean P. Kelly
Associate
Boston, MA
Travis A. Knobbe
Partner
Atlanta, GA
Brian C. Koeppen
Associate
Houston, TX
Leo G. Kogan
Partner
Atlanta, GA
Sean Andrés Rapela
Associate
Boston, MA | Providence, RI
Nancy M. Reimer
Partner
Boston, MA
Martin S. Schexnayder
Partner
Houston, TX | Dallas, TX
Richard C. Seltzer
Senior Counsel
Houston, TX
Related News & Blogs
Firm News
5/1/23
BlogLine
Know when to fold ’em: spotting the first sign of troubled credit
2/16/22
Firm News
FMG opens new office in Dallas, Texas
1/18/22
BlogLine
1/10/22
BlogLine
Preparing for the end game when underwriting new credits
1/10/22
BlogLine
Squeezing blood from stones: an introduction to creditors’ rights
12/15/21