My practice specializes in helping firms, in a highly individualized basis, in meeting the obligations imposed under SEC, State and self regulatory rules and regulations.
From a broad based experience as both a regulator, having served in a variety of senior positions at the Securities and Exchange Commission, and as a front line compliance professional serving as General Counsel, Chief Compliance Officer and Financial and Operational Principal for a Boston based investment banking firm, I bring a depth of experience in the day to day issues facing broker/dealers and investment advisers.
From a broad based experience as both a regulator, having served in a variety of senior positions at the Securities and Exchange Commission, and as a front line compliance professional serving as General Counsel, Chief Compliance Officer and Financial and Operational Principal for a Boston based investment banking firm, I bring a depth of experience in the day to day issues facing broker/dealers and investment advisers.
Services
Mr. Flynn is currently engaged in the private practice of law, specializing in SEC, state and self regulatory issues affecting broker/dealers and investment advisers; proving expert testimony in securities related arbitrations, civil actions and administrative hearings.
Supporting corporate clients in a wide variety of business related matters involving corporate governance, employee/employer issues, contract and vendor agreement review and advice.Duties included overseeing the day-to-day operations of an Institutional Research and Investment Banking Firm of more than 200 employees.
Supporting corporate clients in a wide variety of business related matters involving corporate governance, employee/employer issues, contract and vendor agreement review and advice.Duties included overseeing the day-to-day operations of an Institutional Research and Investment Banking Firm of more than 200 employees.
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