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Convinced the SEC, FINRA, a state securities commission and the U.S. House of Representatives Committee on Education and Labor to close investigations into a broker-dealer and insurance company's revenue sharing and marketing payments.

ClientA broker-dealer and its affiliated insurance company
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Represented a broker-dealer and its affiliated insurance company in investigations of revenue sharing and marketing payments by the SEC, FINRA, a state securities commission and the U.S. House of Representatives Committee on Education and Labor. The investigations lasted more than three years. After extensive briefings, meetings, testimony and negotiations, we convinced each entity to close its investigation without action.
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Experience - Convinced the SEC, FINRA, a state securities commission and the U.S. House of Representatives Committee on Education and Labor to close investigations into a broker-dealer and insurance company's revenue sharing and marketing payments.
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