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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
Home
Events
Events
Adviser Issues in the Institutional and Retirement Marketplace
July 25, 2019
Taking Action in Uncertain Times- Compliance Panel
July 23, 2019
Due Diligence Counsel
What to Know about Your Employees and Vendors
July 23, 2019
Events
Investment Adviser Compliance Overview
July 23, 2019
Events
Tips to Avoid Compliance Lapses & Web Site Do’s and Don’ts
July 23, 2019
Events
New Form ADV: Part 2 Most Difficult Disclosure Issues Revealed
July 23, 2019
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