JAMES J. MOYLAN AND ASSOCIATES, P.C.
Arbitration & Mediation
Compliance
I can assist you in developing and maintaining a securities and commodity futures compliance system, so that you and your firm pass any audit or examination by the regulators. In the event that the audit or examination results in the initiation of an enforcement inquiry or investigation, I have both initiated such investigations and defended clients throughout the investigative process to instituting remedial measures towards an acceptable disposition with the regulator.
Enforcement
I have initiated a variety of enforcement proceedings, at the beginning of my career including:
- Disciplinary, administrative and other enforcement types of proceedings.
- Civil injunctive and related proceeding.
- Criminal referrals.
Now, I am on the “other side,” and defend individuals and firms named as Defendants/Respondents in such proceedings.
As Judy Collins sang:
"I’ve looked at clouds from both sides now…"
Judy Collins "Both Sides Now"
My background and experience in initiating enforcement proceedings and now defending them allows me to see both sides of the process which inures to your benefit.
Practice Areas
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.
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
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.