My RIA lawyer is a SEC Defense in Chicago dedicated to serving clients with a range of legal services including ria compliance, expungements & general counsel.
Let's be real. You would rather meet with prospective clients and provide them services than do compliance tasks. Why? Because working with clients MAKES YOU MONEY. Compliance is not a revenue generating activity. BUT, a robust compliance program can SAVE you money.
Regulatory Compliance, Securities Lawyer, Sec Defense, Finra Exams, Sec Registration