The Saacke Law Group assists brokers, broker-dealers, clearing firms, and investment bankers on a variety of matters. Our experience includes defending customer claims of negligence, breach of fiduciary duty, unsuitability, and churning, defending alleged California Corporations Code violations related to market manipulation, providing representation to individuals during depositions and FINRA interrogations obtaining expungement orders, and resolving collection matters. We also advise and assist our clients with FINRA and SEC compliance issues.
The Saacke Law Group
