Matt Kitzi’s public service experience, highlighted by his seven-year tenure as Missouri Commissioner of Securities, gives him unique perspectives and the ability to offer practical, insightful and business-oriented solutions for clients in the areas of securities regulation, financial services, government affairs, corporate operations and business planning strategies.
Broker-Dealer and Investment Adviser Regulation, Compliance and Enforcement. Matt’s practice covers a broad spectrum of issues in the securities arena, including securing effective resolutions in sensitive and complex state, federal and SRO enforcement investigations and actions. He has extensive experience with multijurisdictional regulatory investigations and national settlements, and regularly assists clients with day-to-day compliance matters in the highly regulated broker-dealer and investment adviser industry. Matt also advises clients on registration matters including obtaining securities licenses, registration waivers and special conditions.
Articles in the National Law Review database by Matt Kitzi