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Regulatory Investigations

Rich, Intelisano & Katz represents high level employees in the financial services industry in investigations by self regulatory organizations, including the SEC, the CFTC, FINRA and state regulatory authorities. We have represented traders, analysts, retail brokers, and other financial industry professionals. The Firm has obtained full exoneration for clients in some matters and has successfully negotiated settlements which permit employees to continue working in the securities industry.

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