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SECURITIES BROKER REGULATION

The attorneys of Stein & Stein, P.A., routinely represent securities brokers and securities brokerage firms in enforcement matters and investigations, which are brought by the exchange securities/exchange commission, FINRA, state securities regulators, and internal investigations by brokerage firms. Jack Stein was special counsel to the SEC from 1972 to 1980, where he handled regulatory matters and trials for the Securities Exchange Commission. Since 1981, Mr. Stein has been representing securities brokers before the exchange and other regulatory agencies.




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