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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
Due Diligence Counsel
Communications with the Public; Conducting Due Diligence
July 26, 2019
Events
Hot Topics in SEC Exams & How to Prepare
July 26, 2019
Events
Establishing a Culture of Compliance and Risk Management for Competitive Business Advantage
July 26, 2019
Events
Prepare For and Survive an SEC Examination
July 26, 2019
Events
Establishing Compliance and Risk Management for Competitive Business Advantage
July 26, 2019
Events
Best Practices for Business Continuity and Disaster Recovery
July 26, 2019
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