Consulting Services

for securities attorneys, brokerage firms,
and asset managers, regarding Trading
or Compliance issues

Expert Advice

reports, and testimony in addressing trading strategies,
and rule adherence regarding rules such as Rule 10b-10,
Reg M, Reg SHO, aspects of the Volcker Rule, the SEC
Order Handling Rules, Manning, Reg NMS, Books
and Records, Domination and Control,
Market Manipulation,and Ponzi Schemes.

Leslie Seff

a former Allied Member of the New York
Stock Exchange, started and ran the
NASDAQ Trading Department
at Fidelity Investments

Due Diligence

Mr. Seff is an expert in due diligence vetting,
having provided those services for Fidelity
in their vetting process for
liquidity destinations.

Consulting Services

for securities attorneys, brokerage firms,
and asset managers, regarding Trading
or Compliance issues

Expert Advice

reports, and testimony in addressing trading strategies,
and rule adherence regarding rules such as Rule 10b-10,
Reg M, Reg SHO, aspects of the Volcker Rule, the SEC
Order Handling Rules, Manning, Reg NMS, Books
and Records, Domination and Control,
Market Manipulation,and Ponzi Schemes.

Leslie Seff

a former Allied Member of the New York
Stock Exchange, started and ran the
NASDAQ Trading Department
at Fidelity Investments

Due Diligence

Mr. Seff is an expert in due diligence vetting,
having provided those services for Fidelity
in their vetting process for
liquidity destinations.

Our Services

Our Services

Financial Service Firms

Provide insight as to trading strategies, trading platforms and technologies and compliance related issues.

Securities Attorneys

In recent years, securities trading has become more complex. Between Reg SHO, the SEC Order Handling Rules, Manning, Reg NMS, Reg M, high frequency trading, and other regulatory and trading issues.

Asset Managers

Help develop trading strategies and clearing arrangements.

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