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Negotiated a favorable eleventh-hour settlement for a broker-dealer and investment adviser on the eve of trial against the SEC involving valuation issues.

ClientMorgan Keegan & Company Inc
Region
Alabama
Kentucky
Mississippi
South Carolina
Tennessee
Description
Negotiated a settlement on the eve of trial for a broker-dealer and investment adviser involving the SEC, FINRA and a consortium of states. The settlement resolved administrative proceedings against the client involving the sales of mutual funds. The settlement included significantly reduced charges and a fine substantially less than what the regulators originally demanded.

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Experience - Negotiated a favorable eleventh-hour settlement for a broker-dealer and investment adviser on the eve of trial against the SEC involving valuation issues.
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