Broker / Dealers Representation
Do You Have A U-5 Expungement Issue?
Conway & Conway's extensive experience
includes representation of broker / dealers, associated persons, and registered reps before disciplinary tribunals and regulatory organizations
such as the NASD, SEC, CFTC, NYSE, NFA and all major futures exchanges.
If you have a U-5 Expungement issue or a question about your U-4 that is affecting your ability to gain full employment in the Financial Services Industry, contact Conway & Conway's Broker / Dealer Attorneys. |