FINRA Continuing Member Application (CMA) Under Rule 1017

FINRA Continuing Member Application (CMA) Under Rule 1017

“Andrew helped us through a very tough Continuing Member Application (CMA) with the National Association of Securities Dealers (NASD) that was originally rejected. We got Andrew involved and he was able to take charge, answer all the NASD’s questions and convince them only a few months later to approve us. The money we spent was well worth it and we found Andrew to not only be very skilled but much more reasonably priced than other attorneys we interviewed.

Andrew is a diligent attorney who understands his client’s needs. When working with Andrew you can feel confident that any legal matters are being handled professionally, and in a manner that will get your desired results.” I have worked with Andrew since 2004, and his top qualities are: (1) expertise; (2) good value; and (3) high integrity.”

G. Dragel, Orland Park, IL

Securities Arbitration Defense

“Andrew May represented me and the major [broker-dealer (BD)] firm I was affiliated with in the spring of 2005 before an arbitration panel of the Pacific Stock Exchange (PSE) in San Francisco. . . . Let it be said that I was more than satisfied with A. May’s excellence in preparation, earnestness in pursuit of the facts and fictions of the case, and energy in conducting a cogent, methodical, and thorough investigation of both the paperwork and personalities involved.

He gave me the benefit of his own previous case experiences and took into account my individual character traits in crafting an appropriate, forceful, succinct and natural presentation that accentuated my strengths and diminished my weaknesses before a Panel. This defused my initial feeling that the Panel would not typically warm to a respondent from the securities industry being sued by a retail supposedly “virtuous” client.

Not only did the Panel not award her a dime in their decision, but I was able to leave the hearing early and go on a previously scheduled vacation. My regret in leaving early was that I was forfeiting a valuable right of rebuttal or that my best interests would not be competently represented, but rather I apparently missed a real tour de force of a closing argument on the part of Mr. May!”

F. Berger, Los Angeles, CA

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