MICHIGAN SECURITIES LAW ATTORNEY
Our securities law practice spans the full range of the federal and state securities laws, the requirements of the NYSE, NASDAQ and AMEX and regulatory compliance. We represent Union Bank of Switzerland (UBS) in the State of Michigan, advising on general legal issues and representing them in litigation matters. In addition, we represent issuers and broker-dealers in registered and exempt public and private securities offerings. We represent investment advisers, financial planners, firms, individuals, and customers in courts, arbitrations, FINRA (formerly NASD) and various regulatory agency matters. We have experience in tender offers, Agoing private@ transactions, Regulation D offerings, Williams Act compliance and proxy contests. We represent our clients in investigations or proceedings before the Securities and Exchange Commission (SEC) and state and self-regulatory organizations.
When making an investment, investors trust that broker-dealers, and advisors will perform their services ethically, following the rules and regulations set forth by the United States Securities and Exchange Commission. But conflicts arise and our clients can trust our firm to hold those responsible accountable for their actions.