Ken Juster is a partner in the investment management group, resident in the Boston office. He advises clients on all aspects of compliance with federal and state laws and regulations and SRO regulations applicable to broker-dealers, investment advisers, alternative trading systems, and securities trading and funding platforms.
Mr. Juster’s practice is focused in the following areas:
- Broker Dealer Regulation
- Broker and Adviser “Status” Issues
- Securities Trading and Funding Platforms
- Mergers and Acquisitions of Regulated Entities
- Marketing and Product Distribution
- Adviser Regulation
