The Clients Served by the Securities Practice Group

The Securities Practice Group is engaged by many different types of companies in the financial services industry as well as by publicly traded companies. Please click on the desired link below for a brief description of the work we perform for these clients, along with a few representative assignments.

• Investment Advisers, Hedge Funds, and Investment Companies

• Broker-Dealers

• Exchanges and Self-Regulatory Organizations

• Public Companies

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For more information regarding the Promontory Securities Practice Group, please contact Kathleen Hamm, Managing Director, at (202) 384-1022 or khamm@promontory.com