SECURITIES RISK MANAGEMENT
& COMPLIANCE

Fourton & Associates, PLLC Securities Risk Management and Compliance Practice has extensive experience advising on risk management, regulatory and compliance matters.

Areas of Expertise

At Fourton & Associates, PLLC, Attorney Leslie Fourton works with clients who are in the construction andCount on our advice and expertise dealing with industry regulators including the Securities and Exchange Commission, Intercontinental Exchange (ICE), New York Stock Exchange and COMEX. From interviews and investigations to representation in disciplinary hearings, our lawyers can help with all securities risk management and compliance matters. We prosecute, defend, mediate and arbitrate civil complaints brought by investors and assist both investment dealers and individual registrants in those civil actions.

Advising public and private companies and assisting with investigations initiated by the regulators are also areas in which we have particular expertise.

Your Benefits

You can be confident in our depth of knowledge of the commercial and regulatory environment that drives the securities industry and capital markets. In fact, our lawyers have been called upon to lecture on the regulatory and compliance issues that impact our clients.

With extensive experience before all levels of trial and appellate courts in New York, Federal Courts across the country, the Supreme Court of the United States, and most regulatory tribunals and agencies, you can rely on us for sound advice and representations to resolve your disputes.

Our combined expertise with Securities and other related practice areas in business and dispute resolution allows us to provide a seamless, holistic service and find practical solutions to meet your needs.

The Fourton & Associates, PLLC Firm includes several attorneys who deal with securities, risk management and compliance with federal regulations as primary practice areas. Leslie Fourton is a skilled New York City Securities Attorney capable of handling any legal issue concerning securitization, compliance with federal guidelines and the buying and selling of various types of securities, stocks, bonds and commercial contracts. Leslie’s years of dedicated service to his clients has earned him the reputation of not only being extremely knowledgeable; but, also extremely diligent and straightforward.