Banking And Finance Regulatory Compliance And Dispute Resolution
As a financial or banking professional, you are part of one of the most highly regulated industries in the world. Multiple government organizations such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) may oversee your activities. However, keeping track of this intricate network of laws may not be realistic while you focus on your clients and day-to-day assignments.
Robert J. Kaufman, Esq. & Alex B. Kaufman, Esq. step in to allow our clients to focus on strengthening their businesses and serving their customers. We represent not only local financial professionals in Georgia, but also clients with far-reaching operations throughout the world.
Manage Risk Through Ongoing, Proactive Compliance Support
Robert J. Kaufman, Esq. & Alex B. Kaufman, Esq. have the resources and knowledge to help you navigate the complex regulations within the finance industry. These regulations are vast, and failure to adhere to them could lead to severe penalties – including criminal charges in certain cases.
Financial and banking professionals can reduce their risk of regulatory violations and costly litigation by frequently consulting a qualified attorney. We offer comprehensive outside counsel for banks, financial institutions, lenders, businesses, investors, brokers, accountants and fiduciaries, among others.
Effectively Resolve Financial Disputes And Address Regulatory Violations
When you, your employees or your institution faces a legal conflict, it is critical to take immediate action. Whether the next step involves litigation, arbitration or an administrative hearing, we are ready to help you prepare.
We swiftly addresses problems such as:
- Breach of fiduciary duty
- Securities fraud allegations
- Breach of contract
- Data security and privacy issues
- Antitrust violations
- Creditors’ rights in bankruptcy proceedings
As your representative, we will dedicate our time and effort to every detail of your case and the relevant regulations or terms of agreement. In banking and finance law, these details could be the deciding factor of your case’s outcome.
Consult Experienced Financial Law Attorneys
From our Atlanta office, Robert J. Kaufman, Esq. & Alex B. Kaufman, Esq. can guide you through the daily life of your business or through a one-time project such as a merger, acquisition or major transaction. Schedule an appointment with our intake form or call 770-390-9200 today.