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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
The SEC’s New Proposed Advertising Rule
November 20, 2019
Events
NSCP Webinar | Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS
November 5, 2019
Events
Charles Schwab – IMPACT 2019
August 22, 2019
Events
Supporting Women in Compliance
August 22, 2019
Events
2019 Priorities and Succession/Transition Planning Action
July 29, 2019
Events
Passing With Flying Colors: How to Prepare for an SEC Examination
July 29, 2019
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