Multi-State Global Resolution

 

Multi-State Global Resolution of Regulatory Action

Albert Watkins represented a national broker-dealer in addressing the then-largest multi-state regulatory examination and investigation into the trading practices, books and records and supervisory infra-structure of the securities firm, successfully negoitating and implementing a comprehensive global resolution of the rgulatory action; replacing a board of directors and installing new corporate officers, to permit the firm to remain in existence and satisfy its outstanding obligations to customers.
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