For the past several years his practice has focused on the securities industry where he has represented broker-dealers, investment advisors, registered representatives, and individuals. He has significant experience with FINRA arbitrations, and he has worked on enforcement matters with the SEC, FINRA, and state regulators concerning numerous issues including suitability, excessive trading, failure to supervise, due diligence, insider trading, and anti-money laundering. Aaron has also provided compliance advice to financial professionals and firms.