Practice Areas

Investment Adviser Regulation

Our firm represents SEC and state registered investment advisers as well as financial planners throughout the United States. Our practice areas include assisting clients in regulatory examinations and representing them in enforcement actions. Many of our clients often rely upon us as an “outsourced” legal counsel. Our services are often less expensive than hiring and maintaining an “in-house” compliance legal department. We are also available to perform on-site regulatory reviews offering you the ability to utilize our services under attorney – client privilege.

Broker-Dealer Regulation

Our firm assists clients with the formation of and ongoing compliance matters pertaining to securities broker-dealer regulation and compliance. We represent both large and small broker-dealers and offer assistance in dealing with the SEC, FINRA and other self- regulatory organizations. We represent clients by assisting them with respect to regulatory audits, continuing education, licensing, and enforcement matters.

Securities Practice

Our Securities Arbitration attorneys have dealt with mediations, arbitrations, regulatory investigations and proceedings and U4 and U5 defamation claims.

Business Law

Our firm’s attorneys can assist you in any of the follow areas of business law:

  • Buy-Sell Agreements
  • Confidentiality Agreements
  • Consulting Agreements
  • Employment Agreements
  • Entity Formations
  • Indemnification Agreements
  • Succession Planning
  • Non-Complete Agreements
  • Operating Agreements
  • Partnership Agreements
  • Subscription & Shareholder Agreements
  • Termination Agreements