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Defended successfully a broker-dealer in DOL investigations under its Consultant/Adviser audit program.

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Defended a broker-dealer in Department of Labor investigations under its Consultant/Adviser (CAP) audit program. The matter closed without action against our client.
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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 - Defended successfully a broker-dealer in DOL investigations under its Consultant/Adviser audit program.
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