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Registered Representative and Broker/Dealer Assistance

We routinely assist registered representatives and broker dealers with regulatory matters before FINRA and the SEC. We also represent our clients in disciplinary matters brought by professional designation boards such as the Certified Planner Board of Standard, Inc.

Our firm also has experience in representing registered representatives in the expungement process in order to clear remarks from a registered representative’s regulatory filings with the CRD. Our attorneys further assist registered representatives and broker dealers in industry disputes, including promissory note issues, commission issues and issues surrounding registered representatives changing broker dealers.

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Mickey B. Wright