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Martin George Prego - N Miami, FL
11098 Biscayne Blvd. STE 100-A (PLG N Miami, FL 33161
PREGO Law Group
N Miami Banking & Securities Lawyer
Overview
The PREGO Law Group is a boutique law firm located in Miami, Florida, providing full legal advice and representation to domestic and international Individual and Institutional Clients in Banking, Securities, Business & Transactional Law, Civil Litigation, and ADR...
The PREGO Law Group is a boutique law firm located in Miami, Florida, providing full legal advice and representation to domestic and international Individual and Institutional Clients in Banking, Securities, Business & Transactional Law, Civil Litigation, and ADR...
The PREGO Law Group is a boutique law firm located in Miami, Florida, providing full legal advice and representation to domestic and international Individual and Institutional Clients in Banking, Securities, Business & Transactional Law, Civil Litigation, and ADR.
With a wealth of experience in banking & finance and strong business acumen, combined with skilled legal advice, PLG is uniquely positioned to assist you and your business to secure the best legal solutions needed in today's challenging times.
Prego Law Group works hard to help you get the best legal advice and representation in the following practice areas and beyond:
Banking
Securities
Business & Transactional Law
Personal & Commercial Civil Litigation
Alternative Dispute Resolution
PLG's comprehensive banking and finance law practice includes advice and representation not only with respect to lending and regulatory compliance, but also with respect to fiduciary activities, securitizations, payment systems, electronic banking, cyber security, data security, and risk management. PLG also covers mergers, corporate organizational and ownership issues involving holding companies, banks, and other regulated entities.
PLG represents broker, dealers, registered representatives, and individual clients in litigation, FINRA arbitration, and regulatory enforcement proceedings. PLG also advice institutional clients in connection with regulatory inquiries and internal compliance reviews.
Some of PLG's regulatory, compliance, and legal matters service offerings includes:
SEC Registration & FINRA Membership (NMA / CMA)
SEC Laws, rules and regulation compliance
AML / OFAC / KYC Compliance
FINRA and other SROs rules
Governance policies and procedures
Training
Securities Enforcement actions (CO, AWC, WPR) & fines
Investigations
PLG provides small and mid-size US and foreign broker-dealers, and investment companies with a full range of regulatory, corporate, securities, mergers and acquisitions (M&A), and other services.
PLG can provide its clients with robust advice and representation on compliance with securities laws, rules, and regulations, as well as the applicability of broker-dealer registration requirements, and membership with SROs. PLG monitors developments in regulatory and compliance matters, including SEC and FINRA rule proposals to ensure our clients stay ahead of the game avoiding fines, reputational damage, and high-cost corrective actions. Additionally, PLG provides extensive advice and representation on regulatory compliance, including approvals for change in control, business activities, "due diligence" reviews, and sales/research practices reviews.
On an ongoing basis, PLG assist their clients with responses to regulatory examinations, representation during examinations, and, the resolution of enforcement actions. Some of PLG's areas of service include:
Advising boards of directors, executive management, and officers in the exercise of their powers and duties to their institutions, creditors, shareholders, and regulatory bodies
Corporate governance assessment
Policies and Procedures
Training
Enforcement action(s) negotiation, response, and resolution
AML / BSA / OFAC / KYC-EDD
PLG offers solid knowledge and experience with Bank Secrecy Act (BSA), AML / US Patriot Act, and OFAC compliance. Martin Prego, PLG's lead banking attorney, frequently lectures on AML/BSA/OFAC at anti-money laundering conferences and seminars and has published several articles. Due to the robust experience in banking & regulatory compliance, PLG is well-suited to provide representation in matters relating to federal and state anti-money laundering, OFAC, and know-your-customer statutes and regulations, as well as in the development and implementation of effective AML/OFAC programs and cost-effective resolution of compliance violations.
About Martin George Prego
Practice Areas
- Banking & Securities 45%
- Business 35%
- ADR 5%
- Litigation 15%
Litigation
- 15%
Languages
- English (Primary)
- Spanish
Qualifications
Bar Admissions
- Florida
Other Affiliations
- ACAMS, 2005 - Present (CAMS)
Education
- Mitchell Hamline School of Law, St. Paul, Minnesota, 2018
Juris Doctor
Honors: Certificate from MH Alternative Dispute Resolution Institute in Advocacy and Problem Solving. - Universidad del Salvador ("USAL") in Buenos Aires, Argentina, 1997
Honors: With Honors
Major: Political Science and International Relations
Past Positions
- Merrill Lynch, 1997
- Espírito Santo Bank, Miami, Florida, 2004
- Gibraltar Private Bank & Trust, in Coral Gables, 2013
- Brickell Bank as Group Chief Compliance Officer, 2014
- President of BGM, 2016 and 2019
Office Information
Address
11098 Biscayne Blvd. STE 100-A (PLG N Miami, FL 33161
Phone
Accepts Credit Cards
Yes
Office Hours
Mon-Fri: 9 am to 5 pm
Websites
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