We advise businesses and individuals in the financial services industry, including investment advisers, broker-dealers, private funds, securities exchanges, trading systems and fintech firms. We handle SEC, FINRA and state registrations and regulatory matters.
Working with clients of all sizes, from start-ups to multinational enterprises – throughout each firm’s life cycle – we provide advice to help solve legal and regulatory challenges. We have extensive experience with clients in a wide range of practice areas, including:
- Investment Management and Investment Adviser Law
- Broker Dealer and Securities Trading and Regulation
- Private Investment Funds Regulation
- SEC, FINRA and State Inquiries, Examinations, and Regulatory Matters
- Securities Compliance and Regulatory Consulting
- General Business and Corporate Legal Matters
- Representation in FINRA and AAA Arbitrations and Mediations
- Corporate Internal Investigations
- Expert Witness Engagements
We also represent individuals who are challenged by the intricate reach of the U.S financial services laws and regulations into their professional and personal lives. We guide clients through their regulatory cases with the perspective and insight needed to pursue the most desirable results.
We provide partner-level attention and personalized representation at the right price point. With more than 20 years of experience – almost exclusively in financial services and business law – we are dedicated to helping clients achieve their best possible outcomes.