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Our Firm
Services
Mergers & Acquisitions
+
Mergers & Acquisitions Transactions
Succession Planning & Counsel
Corporate & Business Formation
Transition & Breakaway Services
Regulatory Compliance Counsel
+
Regulatory Examinations & Enforcement Counsel
FINRA Broker-Dealer Regulatory Counsel
Investment Adviser Regulatory Counsel (SEC & State)
AML Regulatory Counsel Services
IA Marketing Rule Counsel
Corporate & Securities Litigation
+
Mediation and Arbitration
General Litigation
SEC and FINRA Enforcement
Expert Witness
U4/U5 Expungement
Private Funds & Transactions
+
Private Fund Formation
Private Fund Operations
Private Fund Counsel
Investment Transactions
General Corporate Counsel
+
Outsourced General Counsel
General Corporate Counsel
Contract Review
Family Office Counsel
Insights
Events
Get In Touch
Request A Strategy Call
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Events
Events
Events
NSCP Webinar | Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices
September 3, 2020
Events
Creating Effective Oversight Structures for Investment Advisers
June 29, 2020
Events
NRS Spring 2020 Compliance Conference
February 26, 2020
Events
Life Cycle of an SEC Examination
January 31, 2020
Events
Anticipating the Inevitable: Preparing for the SEC in 2020 (Seattle)
January 8, 2020
Events
Anticipating the Inevitable: Preparing for the SEC in 2020 (San Francisco)
January 8, 2020
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