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John Ruark
Paul Uhlenhop
Michael Wise
For almost four decades, the attorneys of Lawrence Kamin’s Futures & Derivatives and Securities practice groups have provided regulatory and compliance counseling to a broad cross-section of the financial services community.
We have hands-on legal expertise in the creation of a broker-dealer or FCM. We help clients obtain federal and state registrations, complete necessary applications and filings before the FINRA and NFA, prepare written supervisory procedures, design internal systems and controls and assist in regulatory interviews. Lawrence Kamin clients rely on our attorneys to help them update supervisory and compliance procedures to meet regulatory policy developments and advances in industry practices and technology. We also counsel firms on their day-to-day business activities, ranging from routine advice concerning customer sales practices to internal audits of practices and controls to assist firm management in refining policies and procedures.
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