Mark D. Fitterman

Senior Counsel

A former associate director at the US Securities and Exchange Commission (SEC), Mark D. Fitterman advises clients on federal and state broker-dealer regulations and compliance. He also guides clients through SEC, Financial Industry Regulatory Authority (FINRA), exchange and state examinations, investigations, and enforcement actions. Mark’s regulatory and compliance practice includes counseling clients on financial responsibility rule compliance and trading and execution issues, as well as federal and state registration and compliance issues.