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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
Best Practices for Managing Conflicts of Interest
July 29, 2019
Events
Investment Advisers, Elder Financial Abuse and the Senior$afe Act
July 29, 2019
Events
Annual Securities Law Update
July 29, 2019
Events
SEC Examinations
July 29, 2019
Events
SEC Hot Topics
July 29, 2019
Events
Considerations for Advisers with Individual Clients
July 29, 2019
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