We advise companies, issuers, underwriters and private equity funds in state and federal securities matters in transactions ranging with private placements, financing agreements and joint ventures.
Founded by former CEOs, CCOs and general counsel to FINRA members,our broker-dealer practice is more than just defense with services designed to be proactive.
Investment Adviser Services
Counsel to registered investment advisers, including retail, private fund and dual registration status, in formation, operations and regulation with the Investment Advisers Act of 1940.
Federal, State and Regulatory - Investigations and Enforcement
Representing corporations and individuals confronted with inquiries from regulatory and securities enforcement agencies, including the SEC, state securities regulators and FINRA.
Business & Corporate Law
Providing a broad range of services to corporations, joint ventures, partnerships and limited liability companies in all phases of the business cycle.