Financial Services & Regulatory Practice

Deals & Transactions

We handle our clients’ transactions efficiently.  Our clients operate in a wide range of industries.  Our diverse experience with their particular businesses and our extensive expertise in compliance and litigation matters have honed our ability to structure deals that protect our clients’ interests and meet or exceed regulatory requirements.

Our services include:

• Formation and registration of broker-dealers, RIAs and funds
• Structuring funds tailored to client objectives
• Advising on venture capital and “seed capital” arrangements
• Preparing and filing of applications with local, state and federal regulatory agencies
• Advising on mergers, acquisitions, sales and recapitalizations
• Advising on private placements of equity, debt and alternative investments
• Drafting contracts, including non-competition, non-solicitation, vendor and independent contractor agreements
• Providing written legal opinions regarding proposed transactions

Compliance

Our Firm regularly advises on issues involving the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Commodity Exchange Act, the Dodd-Frank Act, the JOBS Act, FINRA rules and regulations, and State rules and regulations affecting broker-dealers, investment advisers, insurance companies, hedge funds and their management and registered personnel.  We offer clients risk-management gap assessments that compare present-state compliance with current regulatory requirements in order to reduce regulatory risks and limit potential compliance and financial exposures.  We closely monitor state and federal legal and regulatory developments to ensure that our clients achieve their specific objectives while their interests are protected and provide cost-effective, practical advice on how to meet the requirements of new laws, rules and regulations.

Our services include:

• Drafting, implementation and review of compliance policies and procedures, including supervisory and operational, cybersecurity, privacy, IT and employment policies and procedures
• Preparing and conducting client training programs
• Conducting internal investigations, regulatory examinations and compliance audits
• Coordinating with client’s preparation for regulatory audits
• Conducting cybersecurity response team training and “after action” response assessments
• Providing written legal opinions regarding regulatory obligations and risks

Regulatory Enforcement & Civil Litigation

We understand that almost all business transactions entail risks that can lead to litigation and that even the most sophisticated, well-intentioned businesses face allegations of regulatory violations.  When these pitfalls materialize, our Litigation and Regulatory Practice attorneys work tirelessly with our client’s management and colleagues across our Firm’s numerous practice areas to develop the most effective strategies and defenses possible. Our use of Early Case Assessment (ECA) optimizes client results, and we are experienced with applying “project management” approaches to control legal and other costs in large cases.  We have broad expertise in all phases of litigation proceedings, including document production and discovery, e-discovery management and protocols, motion practice, witness preparation and testimony, preparation of expert testimony and reports, settlement negotiations, seeking injunctive relief, trials and appeals.

Our services include:

• Challenging decisions by local, state and federal regulatory agencies
• Defending enforcement actions before regulatory agencies, including “Wells” submissions
• Litigating complex regulatory and commercial disputes, including multi-party disputes
• Litigating employment matters, including raiding cases, RIF matters, and EEOC/ADA/FMLA matters
• Alternative dispute resolution, including commercial, customer and international controversies before AAA, JAMS, FINRA and other forums
• Conducting internal investigations, including investigations of cybersecurity/privacy breaches, and financial irregularities
• Advising parties facing the dissolution of a business partnership

Achieving our clients’ business objectives requires clear and open communication, and close coordination with clients also minimizes the anxiety intrinsic to litigation, investigations, regulatory disputes, and remediation of compliance issues.  We partner closely with our clients to develop the strategic plans that will meet their goals efficiently and work tirelessly to implement those plans.  Client results and satisfaction are our paramount concerns.