Marc Dobin, founder of the Dobin Law Group, P.A., has assisted clients with inquiries from the SEC, FINRA and its predecessor, NASD, and several different states, but mostly Florida. Dobin Law Group, P.A. assists stockbrokers in the sometimes arduous registration process caused by an indiscretion or two in their past.
The firm handles matters involving expungements for brokers. CRD reporting requirements are strict, so a broker may be forced to report a customer complaint on a U-4 or U-5 due to factors other than the broker’s conduct. An expungement can straighten this out. We handle expungement matters for brokers
For more information about the Dobin Law Group, P.A., DobinLaw Homepage.