Jack Platten Securities Law

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The federal and state securities laws involve not only corporate stock purchases and sales, but a tremendous variety of other transactions, many of which are not easily recognized as involving securities. My experience in this area is broad and varied. I have served as a state securities regulator, as general or special counsel for a number of licensed securities broker-dealers, dealt with broker-dealers and salesmen on behalf of businesses and investors, served as special securities counsel in litigated matters, testified as an expert witness in securities litigation, and served as an arbitrator for the dispute resolution arms of the NASD and the New York Stock Exchange (now merged in FINRA) dealing both with disputes between securities broker-dealers, and between brokers and their customers.

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