EricHaglerLaw.com Information

Experienced California-based Principal Consultant with a demonstrated history of working as a Chief Legal Officer and General Counsel in the securities industry. Deep experience with self-clearing firms, dual-clearing firms, investment banking groups, and market-makers. Previous experience in enforcement actions involving the NYSE, SEC, FINRA and state regulatory authorities. Skilled in Legal Compliance, Securities, Asset Management, Equities, and Corporate Law. Strong consulting professional graduated from University of Arkansas at Little Rock, William H. Bowen School of Law.