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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
Blog
SEC Rules on Deck for 2024: Part II
March 26, 2024
BD
Securities Law Considerations for Investment Fund Formation: Part 1
March 26, 2024
Blog
Six Last-Minute Tips for Filing Your Form ADV
March 25, 2024
Client Contracts
Working with Outside Managers: Third-Party Asset Managers or Sub-Advisers – What is the Difference?
February 28, 2024
Events
Michelle Jacko to Speak at the NSCP Interactive Compliance Labs, Long Beach
February 28, 2024
Blog
SEC Rules on Deck for 2024
February 27, 2024
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