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Sutherland successfully defends broker-dealer in enforcement action.

ClientBroker-dealer
Description
Sutherland successfully defended a broker-dealer and its president against an enforcement action in a trial before an SEC ALJ and on the subsequent appeal to the SEC relating to the supervision of the sale of mutual funds.
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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Sutherland successfully defends broker-dealer in enforcement action.
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