The author of this article is Seymour (“Sy”) Bucholz, a New York City attorney with many years of experience representing broker-dealer and other securities industry clients. Among Sy’s areas of concentration are regulatory licensing, disciplinary, operational and financing matters, often involving client relationships with the SEC, FINRA, NYSE, AMEX and other self-regulatory organizations. Sy is a graduate of Cornell University and Harvard Law School and is associated with Garvey Schubert Barer, a multi-regional law firm serving a wide variety of industries and clients in the U.S. and abroad. Garvey Schubert Barer has offices in Washington, D.C., New York City, Seattle, Portland and Beijing.
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