JAMES J. MOYLAN AND ASSOCIATES, P.C.
James J. Moylan and Associates, P.C.
- Securities and Commodity Futures Arbitration, Mediation, Enforcement, Litigation, Regulation and Business Entity Formation.
How can our practice help you?
Arbitration & Mediation
If you are involved in a dispute involving Securities and Commodity Futures, I have handled close to 100 such cases. I will guide you through the process of arbitration or mediation up to and including litigation and administrative proceedings, if necessary.
Compliance & Enforcement
I will develop a securities and commodity futures compliance system to head off compliance issues. If you already have a situation that requires investigation, disciplinary action, civil injunction, or criminal referral I will defend and guide you to a satisfactory outcome.
Expert Witness Services
Depending on the nature of the case and my experience with the domain, I sometimes act as an expert witness on securities and commodity futures issues. If the role would be better served by another witness I will help you find that person.
Business Entity Formation
I can help you decide what entity to use to carry out your business, and prepare and file the appropriate documents so your company is properly licensed and authorized to do business in the jurisdiction/state(s) of your choosing.
James J. Moylan represents broker-dealers, investment advisors, fund managers, futures commission merchants, commodity trading advisors, commodity pool operators, introducing brokers, floor traders, and stock and commodity futures brokers before federal and state regulatory agencies, and self-regulatory organizations in investigative, administrative, disciplinary and enforcement proceedings as well as in arbitrations, mediations, court litigation and appeals.