Represent Individual Investors & Securities Industry Professionals
We represent broker/dealers and investment advisors in connection with registration and licensing issues with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority, Inc. (FINRA), the Missouri Division of Securities, and other regulatory agencies, as well as compliance and other issues in the day-to-day operations of brokerage firms and investment advisors. This representation includes counseling securities professionals and firms in connection with investigations by the SEC, FINRA, and state securities commissions and representation in formal enforcement proceedings.
Additionally, we have acted as attorney and/or trustee for the liquidation of several brokerage firms at the request of the Securities Investor Protection Corporation (SIPC).
If you have questions about our practice areas, please do not hesitate to contact one of Moline & Mehan’s attorneys.
A Trustworthy & Committed Law Firm
We are centrally located in Clayton/St. Louis, Missouri. We are confident you can benefit from our experience and reputation for successful outcomes. If you have or your company has a legal issue, or if you are an attorney and have a client or case that you would like to discuss with our firm, please contact our office to set an appointment to meet with us.