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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
Broker-Dealers
WSPs: Windsor Street Capital, LP fka Meyers Associates, L.P.
April 1, 2019
Blog
FINRA Releases Its 2019 Annual Risk Monitoring and Examination Priorities Letter
March 14, 2019
Blog
Woodbridge Ponzi Scheme Targeted Retail Investors: $1 Billion Judgement
March 13, 2019
Industry Publications
Tips on How to Prepare For Your Next Examination: Part 1
March 6, 2019
Industry Publications
How Risk Alerts Can Help You Prepare for Your Next Examination
March 6, 2019
Blog
Voya Financial Advisors, Inc. — System Glitch Reveals Broker’s Information
March 6, 2019
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