James G. Lundy
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James Lundy is a partner with Foley & Lardner LLP, where he partners with public and private companies, investment management and brokerage firms, hedge and private equity funds, futures trading firms, and their boards, committees, and management to overcome regulatory enforcement matters.
SEC Issues Risk Alert on Best Execution: Drinker Biddle
The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission identified common deficiencies cited…
July 24, 2018