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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
Events
Cross-Channel Marketing Compliance and Managing Conflict of Interest within a Multi-Line Business
July 19, 2019
Blog
Unregistered ICO: The SEC Brings More Charges
July 19, 2019
Events
Safeguarding and Protecting Confidential Client Information
July 18, 2019
Blog
Deer Creek Management Fined $5 Million for Non-Compliant Valuation of Fund Assets
July 18, 2019
Due Diligence Counsel
Advisory Firm Acquisition Considerations
July 1, 2019
Blog
Protecting Retail Investors: Thoughts from SEC Director Peter Driscoll, OCIE
June 18, 2019
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