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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
SEC Exam Priorities
July 29, 2019
Events
Aligning Disclosures with Business Practices
July 29, 2019
Events
Compliance Issues for Advisers with Individual Clients
July 29, 2019
Events
Advertising and Marketing
July 29, 2019
Events
Compliance Surveillance for Trading and Best Execution
July 29, 2019
Events
Performance Marketing & Social Media
July 29, 2019
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