Liddle & Robinson’s NYC lawyers also represent and defend securities industry executives, including brokers and traders, in investigations and formal proceedings brought by the:

• United States Securities & Exchange Commission (SEC)
• National Association of Securities Dealers (NASD)
• New York Stock Exchange (NYSE)
• State securities regulators

The firm works cooperatively with the companies employing the individuals who are the subject of these proceedings, and has obtained full exoneration for its clients, as well as entered into negotiated settlements that permit the executives involved to continue working successfully in the securities industry.