Overview
We counsel investment advisers, broker-dealers, fund managers, private equity firms, proprietary trading firms, futures commission merchants and commodity trading advisers, including those that are part of larger financial institutions such as banks, insurance companies and agribusinesses. We support you through regulatory counseling and compliance issues that arise during the life cycle of broker-dealer and investment advisor firms including formation, M&A transactions, operations, examinations, enforcement investigations and civil proceedings. Our team, composed of industry personnel with varied backgrounds including positions as enforcement attorneys, general counsel, chief compliance officers and compliance analysts to asset managers, hedge funds and brokerage firms, has the experience, creativity and bench strength to advocate for your interests in matters involving the SEC, CFTC, FINRA, securities and commodities exchanges, state securities regulators and others.
Insights & Events
Related Services and Industries
Experience
Our Experience
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December 2017 1 min readInsurance Broker Receives Strategic Organization and Licensing CounselFinancial Services Broker-Dealers Business & Transactions General Corporate Counseling
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2011 1 min readBroker-Dealers Defend Against Securities Fraud in the U.S. District Court for the District of DelawareFinancial Services Broker-Dealers Securities & Financial Litigation Litigation & Dispute Resolution
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1 min readArbitration Proceedings Before FINRAFinancial Services Broker-Dealers Litigation & Dispute Resolution