Starting in 1974 into the 1990’s I represented broker/dealers, clearing firms, market makers, specialists, traders, and floor brokers who were members of the Chicago Board Options Exchange, Chicago Board of Trade, Chicago Mercantile Exchange, Midwest Stock Exchange, MidAmerican Commodities Exchange, New York Stock Exchange, American Stock Exchange and other smaller regional exchanges. I provide legal services to investment advisors including preparing documents such as procedural and supervisory manuals, customer forms and agreements so as to comply with state and federal securities laws.
SER Voting Member