Examples of Nathan’s experience include:

• Defending FINRA, SEC, and state investigations and enforcement actions involving alleged sales practice violations, including unsuitable recommendations, churning, misrepresentations, unauthorized trading, and supervisory failures.
• Defending FINRA, SEC, and state investigations and enforcement actions involving anti-money laundering (AML), registration issues, net capital requirements, Regulation S-P, and other non-sales practice matters.
• Defending customer complaints and arbitrations across a wide range of matters.
• Experience with a broad range of products, including limited partnerships, private placements, tenant-in-common interests (TICs), Delaware statutory trusts (DSTs), real estate investment trusts (REITs), and traditional securities.
• Representing industry members at all levels of broker-dealers and RIAs in on-the-record (OTR) testimony before FINRA or the SEC.
• Counseling industry participants on responding to FINRA Rule 8210 requests and SEC subpoenas.
• Advising on avoidance of statutory disqualification (SD) and assisting with MC-400 applications seeking re-admittance following disqualification.
• Assisting broker-dealers with supervisory system structure, drafting written supervisory procedures, preparing membership applications, and liaising with securities regulators.
• Assisting clients with the registration of digital assets and custody-related issues.
• Advising clients in SEC and FINRA inquiries involving crypto-related offerings.