|Our firm assists investors
and securities firms by providing excellent legal
representation in securities law matters.
Mr. Sweeney has served as Deputy Commissioner for the Indiana Securities Division and has served securities firms as Chief Compliance Officer and general counsel. Mr. Sweeney began his securities career as a practicing stockbroker, so he understands the securities industry from all sides and has experience he can use for private investors, registered representatives, investment advisor representatives, and securities firms.
We can provide representation to private investors and securities professionals in most areas of securities law.
The following is a substantial, but not exhaustive, listing of practice areas in which we can render expertise: