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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
Insider Trading Concerns Should Still Keep You Up at Night
July 26, 2019
Events
What You Need to Know and How to Prepare
July 26, 2019
Events
Annual Securities Law & Dodd-Frank Update
July 26, 2019
Events
Staying Ahead of the Latest Regulatory Issues and Trends
July 26, 2019
Events
Introduction to Investment Adviser Compliance
July 26, 2019
Events
How to Survive a Regulatory Examination
July 26, 2019
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