Bergton Lawyers

Yancey Ellis
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Yancey Ellis
Alexandria, VA Attorney with 20 years of experience
(703) 684-7908 108 N. Alfred Street, 1st Floor
Alexandria, VA 22314
White Collar Crime
George Mason University School of Law and George Mason University School of Law
Yancey Ellis is the managing partner at Carmichael Ellis & Brock, PLLC, and is a vital asset in our firm-wide mission of service to the indigent, upholding the Constitution, and guiding our clients through the criminal justice system. Yancey is also the lead attorney on cases assisting military service members and veterans with their special legal needs. Yancey Ellis joined Carmichael Ellis & Brock, PLLC, after working for the very well-respected Public Defender's Office for the City of Alexandria. At the Alexandria Public Defender's Office, Yancey defended almost two thousand clients against criminal charges by the Government. Yancey defended clients...
Matthew Cox
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Matthew Cox
Alexandria, VA Lawyer
(703) 535-7809 526 King Street
Suite 506
Alexandria, VA 22314
Free ConsultationWhite Collar Crime
The George Washington University Law School
Matt is committed to finding creative, holistic solutions for his clients that are tailored to each client’s needs. As a criminal defense attorney, he passionately advocates for clients in misdemeanor and felony matters in Alexandria, Arlington, Fairfax, Prince William, Loudoun, and other counties across Virginia, as well as the US District Court for the Eastern District of Virginia. Matt successfully defends reckless driving, DUI, assault and battery, larceny, drug offenses, expungements, and other misdemeanor and felony cases across Northern Virginia.
David  DeFazio
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David DeFazio
Glen Allen, VA Attorney with 27 years of experience
(804) 585-3100 4050 Innslake Dr
#190
Glen Allen, VA 23060
Arbitration & Mediation
Mr. Paul Oliver Gaymon Jr.
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Mr. Paul Oliver Gaymon Jr.
Alexandria, VA Lawyer with 20 years of experience
(703) 407-9130 211 N. Union Street
Suite 100
Alexandria, VA 22314
Free ConsultationBankruptcy, Consumer and Tax
Georgetown University Law Center
Paul Gaymon is the founder of The Gaymon Law Firm, PLLC where he focuses his legal practice on representing individuals and businesses with tax debts and other financial problems. Mr. Gaymon represents consumer and business debtors in complex Chapter 7, 11 and 13 bankruptcies. He regularly appears before the United States Bankruptcy Court and interacts with the Internal Revenue Service, the Comptroller of Maryland, and the Virginia Department of Taxation on behalf of his clients. Prior to representing persons and businesses with tax and other financial problems, Mr. Gaymon served as an Attorney-Advisor to the Assistant Secretary...
Trent Powell
Claimed Lawyer ProfileSocial MediaResponsive Law
Trent Powell
Richmond, VA Lawyer with 12 years of experience
(804) 477-1720 1503 Santa Rosa Rd
#120
Richmond, VA 23229
Free ConsultationImmigration
University of Richmond School of Law
I am an immigration attorney in Richmond, Virginia and a partner at the firm Tingen Law. I've lived in Richmond since moving here in the fifth grade, and I'm devoted to helping my local community with all of their legal problems. I graduated from James Madison University in 2007 and received my J.D. from the University of Richmond school of law in 2010. I primarily work on immigration and naturalization cases, but I also have experience in wills, estates, and other forms of contract law.
Steven Laxton Higgs
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Steven Laxton Higgs
Roanoke, VA Lawyer with 42 years of experience
(540) 400-7990 9 Franklin Rd SW
Roanoke, VA 24011-2403
Bankruptcy, Business and Real Estate
University of Richmond School of Law
The Higgs Law Firm provides legal assistance to businesses and individuals throughout Virginia and nationwide in: Administrative Law; Alternative Dispute Resolution; Banking; Mortgages and Equity Financing; Bankruptcy (Creditors only); Business & Commercial Law; Civil Litigation; Corporations, Partnerships, L.C.C.s and other Entities; Creditors' Rights and Commercial Collections; Foreclosures; Lease Enforcement; Litigation; Real Estate; and Wills, Trusts and Estates. Bankruptcy practice limited to representing creditors. *The American Board of Certification is accredited by the American Bar Association to certify lawyers in the areas of bankruptcy law and creditors' right law. There is no procedure in the Commonwealth of Virginia for approving certifying...
Ms. Colleen Marea Quinn
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Ms. Colleen Marea Quinn
Richmond, VA Attorney with 36 years of experience
(804) 545-9406 1802 Bayberry Court, Suite 103
Richmond, VA 23226
Employment and Products Liability
University of Virginia School of Law
Honored with the inaugural 2019 VLW Influential Women in Virginia, top “Women in the Law” (in Family Law & Personal Injury 2016-20), "Best Lawyers in America” (U.S. News & World Report 2014-21), AAAA 2018 “President’s Award,” 2017 “Adoption Attorney of the Year” (Lawyers Monthly magazine), 2017 MRWBA Women of Achievement Award, 2016 Richmond NAWBO “Entrepreneur of the Year” award, 2015 Virginia State Bar Family Law Service award, "SuperLawyers" top lists, "Legal Elite" (Va Business) and numerous other awards, Colleen Marea Quinn is a partner and equity owner in the law firm of Locke & Quinn, Founder of the “Raising...
Charles Petran
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Charles Petran
Richmond, VA Attorney
(804) 477-1720 1801 Bayberry Court, Ste. 203
Richmond, VA 23226
Immigration
University of Richmond School of Law
Charles is a criminal defense and immigration attorney based in Richmond, Virginia, and a partner at the firm Tingen Law, PLLC. Since becoming a member of the Virginia State Bar, he has passionately advocated for his clients, representing them on traffic, misdemeanor, and felony charges in both the General District and Circuit Courts. After working as a public defender for several years, he is now a partner at Tingen Law, ready to stand with you as a passionate and vocal advocate for your rights in court.
Christopher Mark Winslow
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Christopher Mark Winslow
Midlothian, VA Lawyer with 17 years of experience
(804) 423-1382 1324 Sycamore Square
Midlothian, VA 23113
Free ConsultationBankruptcy and White Collar Crime
Thomas Jefferson School of Law
Following the attacks on September 11, 2001, Chris entered the United States Navy as an Intelligence Specialist Petty Officer. While serving, he studied at the Thomas Jefferson School of Law.

Chris is admitted to practice law in all Virginia General District and Circuit Courts, the Virginia Court of Appeals, the Virginia Supreme Court, the United States Bankruptcy Court for the Eastern and Western District of Virginia, and the U.S. District Court for the Eastern District of Virginia. In 2008, he was a contributing author on the Virginia Continuing Legal Education publication, “Defense of Serious Traffic Cases in Virginia.” Chris is a...
John Anderson Merrick
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John Anderson Merrick
Richmond, VA Lawyer
(804) 500-9796 1801 Libbie Ave
Suite 100
Richmond, VA 23226
Business
University of Richmond
My path to becoming a trial lawyer wasn’t a straight one. Early on, I dreamed of being a charter-fishing boat captain. But I quickly realized that a career in law, especially litigation, offered me the opportunity to help others while channeling my competitive spirit. I’ve had the privilege of trying numerous cases across courts throughout the Commonwealth, handling appeals, and successfully arguing before the Virginia Supreme Court. I thrive on stepping outside my comfort zone and tackling new challenges head-on. Before founding Merrick Brock, I spent over a decade defending insurance companies. Over time, their tactics—manipulating cases, undermining claims, and offering victims...
Mark Steven Paullin
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Mark Steven Paullin
North Chesterfield, VA Attorney with 37 years of experience
(804) 423-7423 575 Southlake Blvd. Suite A
North Chesterfield, VA 23236
Business
University of Richmond School of Law
Attorney Mark Paullin has more than 29 years of legal experience, which includes insurance defense work. His experience with both sides of the process allows him to prepare his clients for what may come their way as well as has enabled him to insightfully and aggressively represent his clients with their Personal Injury case, Diminished Value or Diminution case. Mark handles Speeding cases, DUI/DWI cases, and Reckless Driving cases as well as other other Traffic Court matters around the Richmond Metro area. Experience Counts. When you hire the Paullin Law Firm, your case won't be handed off to benchwarmers or...
Daniel Patrick Frankl
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Daniel Patrick Frankl
Roanoke, VA Attorney with 38 years of experience
(540) 527-2013 27 Church Ave. SW
Roanoke, VA 24011
Free ConsultationProducts Liability
George Mason University School of Law
Mr. Frankl is a litigator whose practice concentrates on general insurance defense litigation with a specialty on defending individuals and commercial motor carriers in catastrophic injury claims. He has handled complex litigation on behalf of primary and excess insurers in the areas of products liability, wrongful death, premises liability andpersonal injury. Mr. Frankl has tried numerous cases in both state and federal courts throughout the Commonwealth of Virginia. Prior to forming Frankl Miller & Webb in 2004, Mr. Frankl was the head of both the insurance defense and trucking andtransportation practice groups as a partner in the...
Jamie Leigh Allgood
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Jamie Leigh Allgood
Ashland, VA Attorney with 12 years of experience
(804) 755-7599 9410 Atlee Commerce Blvd.,
Suite 2
Ashland, VA 23005
Appeals
Regent University School of Law
My practice consists primarily of family law matters. People entrenched in a family law case-maybe a divorce or custody battle- often find this to be one of the most challenging seasons of their life. They are best served by an attorney who is truly invested in them. I work closely with my clients in creating a strategy that achieves my client’s goals in the most efficient and practical way possible. I am a skilled negotiator and an effective litigator, utilizing both of these tactics as needed.

I graduated from Christopher Newport University with a B.A. in Political Science, and I graduated...
Jacob Lee Martin Bryant
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Jacob Lee Martin Bryant
Roanoke, VA Attorney
(540) 983-9376 10 Franklin Rd SE
Ste 900
Roanoke, VA 24011
Business, IP and Trademarks
George Mason University School of Law and Liberty University School of Law
Jake is an associate attorney at Gentry Locke, one of Virginia's oldest and largest law firms. His practice focuses on intellectual property, technology law, media/entertainment, mergers & acquisitions, and other commercial transactions. Jake has extensive experience with all aspects of intellectual property, technology-based contracting, IP licensing deals, and other related commercial transactions. He has also litigated intellectual property cases in various federal courts across the country and has registered countless trademarks and copyrights. Jake's scholarship has been published by the peer-reviewed American Intellectual Property Law Association Quarterly Journal, the Trademark Lawyer Magazine, and the Liberty University Law Review, where he...
Andrew Ray McRoberts
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Andrew Ray McRoberts
Richmond, VA Lawyer with 34 years of experience
(804) 648-1636 1111 East Main Street, Suite 2400
P.O. Box 1998
Richmond, VA 23218-1998
Administrative and Tax
University of Richmond School of Law
Andrew is a long-time Virginia local government attorney who represents governmental entities and officials throughout Virginia in specialized and general matters, and in specific litigation matters, and may also assist some who deal with Virginia governmental entities and officials in appropriate situations. He is a former President of the Local Government Attorneys of Virginia, Inc.
Thomas H. Roberts
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Thomas H. Roberts
Richmond, VA Lawyer with 39 years of experience
(804) 783-2002 105 S 1st St
Richmond, VA 23219
Employment and Products Liability
University of Richmond School of Law
Mr. Roberts was admitted to practice law in Virginia in 1986 and before the United States Supreme Court in 1991. Mr. Roberts has a broad background of experience in litigation and business. His practice includes the successful representation of clientele in obtaining recoveries in cases of personal injury, in commercial disputes, and in civil rights. Additionally, Mr. Roberts has served as corporate counsel and director for several electronic technology corporations. Mr. Roberts is a founder and the principal member of the firm of Thomas H. Roberts & Associates, P.C. He earned his Bachelor of Arts degree with honors in business...
Thomas Daniel Frith III
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Thomas Daniel Frith III
Roanoke, VA Attorney with 43 years of experience
(540) 985-0098 303 Washington Avenue
Roanoke, VA 24016
Free ConsultationBusiness
Washington and Lee University School of Law
I have over 35 years of experience representing Virginia clients in medical malpractice, long-term care litigation, serious personal injury litigation, and complex commercial litigation. In my practice I have represented individuals and businesses throughout Virginia, including in state and federal court.
Brad Goodwin
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Brad Goodwin
Richmond, VA Lawyer with 18 years of experience
(804) 415-7800 4116 Fitzhugh Ave
Richmond, VA 23230
Free ConsultationWorkers' Comp
University of Richmond School of Law
Justin L Criner
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Justin L Criner
North Chesterfield, VA Attorney with 11 years of experience
(804) 788-1500 808 Moorefield Park Drive
Suite 110
North Chesterfield, VA 23236
Free ConsultationConsumer
Appalachian School of Law
Justin Criner received his undergraduate degree in Political Science at Virginia Commonwealth University where he met his wife and fell in love with Richmond and the surrounding areas. Mr. Criner received his juris doctor from the Appalachian School of Law in 2013 where he was a senior editor of the law journal and the president of the local Lions’ Club. He remains active in the community and can regularly be found at Lions’ Club or VCU athletic events. Before joining our firm, Mr. Criner worked as a prosecutor and criminal defense attorney in Charleston, WV and opened his own practice...
Kendall R. von Michalofski
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Kendall R. von Michalofski
Richmond, VA Lawyer with 6 years of experience
(804) 294-0061 2403 Westwood Ave
Ste 208
Richmond, VA 23230
Immigration
William & Mary Marshall-Wythe School of Law
Kendall is KRV Legal’s Principal Attorney. She earned her J.D. from William & Mary Law School in Williamsburg, Virginia, and her B.A. from the University of Washington in Seattle, Washington. At KRV Legal, Kendall assists clients with naturalization and citizenship, permanent residency, family-based immigration, and business-based immigration. Her clients appreciate her responsiveness and attention to detail. Kendall enjoys working with clients from all over the world. She is licensed to practice law in the Commonwealth of Virginia and permitted to represent clients in immigration matters in all 50 states. She is fluent in English and Spanish. Kendall es la Abogada Principal de KRV...
Paul C. Galanides
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Paul C. Galanides
Richmond, VA Attorney with 29 years of experience
(804) 918-8643 1561 E. Main Street
Richmond, VA 23219
Free ConsultationAppeals and White Collar Crime
University of Kentucky College of Law
When the stakes are high, clients turn to Criminal Defense Attorney Paul C. Galanides. As a former Prosecutor for twenty-three years, Paul C. Galanides, holds an impressive history defending the accused in Virginia. Choose the right lawyer. Right now.
Gray R Proctor
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Gray R Proctor
Richmond, VA Attorney with 17 years of experience
(888) 788-4280 1108 E Main St, Suite 803
Richmond, VA 23219
Appeals
Vanderbilt University Law School and Vanderbilt University Law School
Civil and criminal appeals in state court in Florida and Georgia, and in federal courts nationwide. Visit me at www.allappeals.com to find out more.
David Mark Bastiaans
Claimed Lawyer ProfileSocial MediaResponsive Law
David Mark Bastiaans
Virginia Beach, VA Lawyer with 27 years of experience
(757) 554-0242 200 Bendix Road
Suie 300
Virginia Beach, VA 23452
Business and Tax
University of Alabama School of Law and Western New England University School of Law
Before practicing as an attorney, I worked in greater Boston, MA and in Washington, DC in certified public accounting firms and currently hold my CPA license. I joined my law firm in 1998 and have been practicing and advising business owners and individuals ever since. In 2015, I graduated from the University of Alabama with my Master of Laws (LL.M.) in Business Transactions. In 2018, I became certified as an exit planning advisor by the Exit Planning Institute to better serve and assist my business clients.

I focus my practice areas in working with business owners and their advisors...
Shawn M Cline
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Shawn M Cline
Hampton, VA Lawyer with 23 years of experience
(757) 224-1777 38 Wine Street
Hampton, VA 23669
Free ConsultationWhite Collar Crime
University of Florida
Marc Gordon Marling
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Marc Gordon Marling
Norfolk, VA Lawyer with 27 years of experience
(757) 629-0616 999 Waterside Drive
Norfolk, VA 23510
Business
Rutgers School of Law-Camden
William H. Oast III
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William H. Oast III
Portsmouth, VA Lawyer with 51 years of experience
(757) 452-6200 355 Crawford Street
Suite 720
Portsmouth, VA 23704
Business
Washington and Lee University School of Law
Bringing nearly 40 years of legal expertise to the Oast & Taylor team, Bill’s practice areas include Elder Law, Estate and Trust Administration, Estate Planning, Guardianships and Conservatorships, and Litigation.
Barry Rowell
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Barry Rowell
Virginia Beach, VA Attorney with 19 years of experience
(757) 432-2500 1294 Diamond Springs Rd
Virginia Beach, VA 23455
Free ConsultationBusiness and Employment
Regent University School of Law
Barry Rowell is a partner at Klein Rowell & Shall PLLC (KRS Law). Prior to forming this new partnership, Barry was a partner at Valverde & Rowell, PC, from 2006 to 2019. From 1995 to 2006, Barry was employed with a Fortune 50 Company, working in the human resources and legal department. Barry has successfully responded to and mediated hundreds of charges of employment discrimination filed with the United States Equal Employment Opportunity Commission and Fair Employment Practice Agencies in more than 40 states. Barry has a wide range of experience advising corporate clients on complex employment issues including...
Matthew H Kraft
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Matthew H Kraft
Virginia Beach, VA Attorney with 29 years of experience
(757) 390-3340 5041 Corporate Woods Drive
Suite 185
Virginia Beach, VA 23462
Free ConsultationWorkers' Comp
George Mason University School of Law
Types of cases I handle: Longshore Workers' Compensation Claims, Virginia Workers' Compensation Claims, Social Security Disability Claims, Personal Injury Cases General, Civil Litigation, Drafting of Contracts Contract Based Claims. I am a lawyer and I handle the types of cases I handle because I like to help people. In workers' compensation, Social Security, and personal injury claims, I work on behalf of people who have sustained injuries or disabilities that severely impact their lives and well being. I work with them in an effort to maximize their recovery and help them move on with their lives in a...
Jack Rephan
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Jack Rephan
Suffolk, VA Lawyer with 66 years of experience
(757) 490-6278 Suffolk, VA 23434
Arbitration & Mediation
University of Virginia School of Law
Jack Rephan is a Shareholder and Director of the Virginia Beach, Virginia, firm of Pender & Coward, P.C. He is a member of the bars of Virginia and the District of Columbia. After serving as a law clerk for the U.S. Court of claims, Mr. Rephan was in the private practice of law in Washington D.C. from 1962 through 1993. Since 1993, he has practiced law in the Hampton Roads, Virginia area. Mr. Rephan’s legal career has covered a broad range of areas of the law although his current practice has been for many years primarily devoted...
Anna Ernest
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Anna Ernest
Virginia Beach, VA Attorney with 12 years of experience
(757) 289-2499 505 South Independence Boulevard, Suite 103
Virginia Beach, VA 23452
Free ConsultationRegent University
ANNA ERNEST, the proud owner of Ernest Law Group PLC, is a highly sought-after and recognized advocate. She represents Clients in complex matters in the family law, personal injury, and immigration. She has extensive courtroom experience in federal and state litigation. Ms. Ernest is regarded as a determined, assertive, innovative, and client-dedicated attorney. For her substantial accomplishments, Ms. Ernest has been consistently voted by her peers as a “Super Lawyer,” named “Virginia’s Legal Elite,” recognized as a “Top Lawyer” by Coastal Virginia Magazine, selected to the list of “Top 40 Under 40” by The National Trial Lawyers, received...
John Allen Waldrop III
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John Allen Waldrop III
Virginia Beach, VA Attorney
(757) 870-3191 780 Lynnhaven Pkwy, STE 400
Virginia Beach, VA 23452
Free ConsultationBusiness, Communications, IP and Trademarks
William & Mary Marshall-Wythe School of Law
John Allen started Waldrop & Colvin to deliver premier legal talent to business client without the friction points of big law. He has a vast and impressive history of decades in world class legal departments across several industries. His experience delivers results in corporate governance, contracts, M&A, dispute resolution, employment and real estate.
Ericka M Battle
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Ericka M Battle
Richmond, VA Lawyer with 13 years of experience
(804) 285-7000 5206 Markel Road
200
Richmond, VA 23230
Free ConsultationWhite Collar Crime
Florida Coastal School of Law
I am a licensed attorney practicing law in the Commonwealth of Virginia. I have extensive experience in the fields of Property Management, Distressed Rental Properties and Criminal Litigation. I am also experienced in Contract Disputes, Corporate Governance, and Government Relations. I am a goal oriented, hard-working individual.
I became an attorney to assist people during the most challenging times of their lives, whether that be criminal charges, eviction from their home, or outstanding debts. Too often, I came across individuals who were unaware of their legal rights and remedies. I believe the best feeling in the...
Amanda DeBerry
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Amanda DeBerry
Richmond, VA Lawyer with 12 years of experience
(804) 358-9900 2104 W. Laburnum Ave Suite 201
Richmond, VA 23227
Bankruptcy
College of William and Mary
Amanda is a Shareholder of Boleman Law Firm and manages the Richmond office’s post-filing department. She primarily practices in the firm’s Richmond office, however, she covers dockets and litigates cases in the Richmond, Newport News, and Norfolk Bankruptcy Courts. Her primary practice is post-filing issues and litigation, including managing the motion for relief and objection dockets. Amanda has litigated numerous matters, including the dischargeability of obligations arising from divorce, landlord-tenant, and business debts.

Amanda coordinates the pro bono efforts for the Richmond office and is a regular speaker at continuing legal education conferences. In 2017, she was selected as the Young...
Richard Talbot
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Richard Talbot
Richmond, VA Lawyer
(804) 888-8888 8720 Stony Point Parkway, Suite 250
Richmond, VA 23235
Free ConsultationWorkers' Comp
University of Richmond School of Law
Richard Talbot knows firsthand the impact of a workplace injury. When he was young, he saw his father, a police officer, severely injured while on the job.

He channeled that experience into a passion for law, helping individuals fight for their rights after being injured at work. As a worker’s compensation attorney, Richard advocates on behalf of individuals to protect their interests when fighting against an insurance company with far more resources than themselves.

“If it were not for social safety nets, like workers’ compensation, my family would have been left without income,” Richard says. “It was this life experience...
Joshua Voelkel
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Joshua Voelkel
Richmond, VA Attorney
(804) 888-8888 8720 Stony Point Parkway, Suite 250
Richmond, VA 23235
Free ConsultationWorkers' Comp
University of Richmond School of Law
Joshua Voelkel graduated from the University of Richmond in May 2019 and began working at GMA in late August. Although a recent graduate, Joshua comes from a long lineage of lawyers, and has obtained an impressive array of experience, settling multiple cases in the past using his third-year practice certification whilst still in school.

“I’ve always wanted to enter a profession that afforded me the opportunity to help others,” Joshua says. He recently started in the pre-litigation group where he’s able to interact with clients daily and assist them in getting the treatment they need to be back where they...
Ryan Andrew Brown
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Ryan Andrew Brown
Arlington, VA Lawyer with 18 years of experience
(703) 842-3025 1739 Clarendon Boulevard
Arlington, VA 22209-2741
Free ConsultationBusiness and Tax
George Mason University
Attorney with emphasis in start-up and venture business law, small business law, taxation, wills, trusts and estate planning. Computer Scientist with extensive experience in web based application development, databases, data mining, information retrieval and distributed systems. I enjoy working with small and start-up technology businesses and advising them both on technology and law, where appropriate.
Mark Monaco
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Mark Monaco
Arlington, VA Lawyer with 38 years of experience
(703) 575-8488 5555 Columbia Pike
Arlington, VA 22204
Immigration
Fordham University School of Law
Maribel LaFontaine
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Maribel LaFontaine
Arlington, VA Lawyer with 28 years of experience
4601 N. Fairfax Dr., Suite 1200
Arlington, VA 22203
Free ConsultationImmigration
The Catholic University of America Columbus School of Law
Matthew Kaplan
Claimed Lawyer ProfileBlawg SearchSocial Media
Matthew Kaplan
Arlington, VA Lawyer with 22 years of experience
(703) 665-9529 1100 N Glebe Rd
Suite 1010
Arlington, VA 22201
Appeals, Arbitration & Mediation, Business and Employment
The George Washington University Law School
For over a decade Matthew B. Kaplan, the founder and principal of The Kaplan Law Firm, has litigated cases on behalf of his clients in courts around the country. Prior to establishing The Kaplan Law Firm Mr. Kaplan was an attorney with Cohen Milstein Sellers & Toll PLLC, where he recovered millions of dollars for investors who incurred substantial losses as the result of fraud and other violations of the federal securities laws. Among the cases that Mr. Kaplan successfully litigated are In re Buca Inc. Securities Litigation, In re C.P. Ships Securities Litigation, In re...
Ryan Smith
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Ryan Smith
Arlington, VA Attorney with 23 years of experience
(571) 317-0605 4250 North Fairfax Drive
Suite 600
Arlington, VA 22203
Securities
George Mason University School of Law
You are your broker-dealer’s or registered investment adviser’s Chief Compliance Officer. You might even be your firm’s entire Compliance Department. It is a tremendous responsibility. The SEC, FINRA and the state regulators have placed significant demands on our industry. You need to help your firm discharge its current obligations and implement the new ones. It makes you feel at times that you are trying to boil away the ocean. Your regulator has just contacted your firm for whatever reason and seeks documents and additional information. You are concerned about what this means and what might happen next. An angry...

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