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Broker Check

Securities Industry Consultation

Bob Oram, head of the Securities Industry Practice at H Papa & Associates, consults on securities industry dispute resolution issues. Bob advises brokerage firms, brokers, investors and legal counselors on regulatory matters pertaining to securities transactions and brokerage accounts. He conducts forensic evaluations of securities matters to make determinations, draw conclusions and form opinions related to unauthorized trading, excessive trading, margin, suitability, supervision, compliance, FINRA and SEC regulations, compliance manuals and asset allocation.

Bob's expertise and understanding of the securities industry are invaluable to individuals and institutions looking to resolve complicated issues involving securities transactions and the handling of brokerage accounts, including in litigation or alternative dispute resolution.

For more information about our firm and the services we offer, send us a quick email or call the office. We would welcome the opportunity to speak with you.

olivia@hpafinancial.com | (941) 951-1883