David C. Boch regularly advises clients on all aspects of compliance with federal, state, and SRO regulations applicable to investment companies, investment advisers, broker-dealers, and transfer agents. David also conducts internal investigations and regularly represents clients in regulatory proceedings before the SEC and FINRA, and defends clients in private litigation in both state and federal courts and arbitrations. Clients praise him for his “practical approach to complex broker-dealer enforcement issues,” his “technical ability” and “subject matter expertise.”
