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David A. Spotts, Counsel
- 860.256.8539
- david.spotts@bgllp.com
- www.bgllp.com
David Spotts is a member of Bracewell & Giuliani LLP's broker-dealer and market regulation group. He provides comprehensive regulatory advice on compliance with federal, state and self-regulatory organization rules and regulations to clients in the financial services industry, with particular emphasis on broker-dealers, investment advisers, and alternative investment vehicles. He also represents clients in regulatory matters before the SEC, FINRA, NYSE and other SRO’s.
- Bracewell & Giuliani LLP
Articles in the National Law Review database by David A. Spotts:
- FINRA Adopts Self-Reporting Requirement – Marks Big Change for Legacy NASD Member Firms (Posted On Friday, March 18, 2011)
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