Areas of Practice

Business Services

Business Planning & Formation

  • Evaluation of alternative company structures for new and reorganizing businesses
  • Preparation of governing documents: by-laws, limited liability company agreements, partnership agreements, shareholder agreements
  • Representation of individuals entering into partnerships and other business relationships

Intellectual Property

  • Confidentiality and Non-Disclosure Agreements
  • Licensing agreements
  • Trademark and Copyright Protection

Mergers And Acquisitions

  • Business Acquisitions and Dispositions
  • Represent purchasers and sellers in acquisitions and sales


  • Supplier and customer transactions
  • Clearing firm arrangements
  • General contract matters

Compliance Services

  • Broker-Dealer registration, including preparation of FINRA New Membership and Continuing Membership Applications and related documents
  • Compliance for Exempt M & A Brokers
  • Investment Adviser registration, including preparation of Form ADV
  • Evaluation of Private Fund Adviser and other exemptions from registration as an investment adviser
  • Preparation of Compliance Manuals and other policies and procedures for broker-dealers and investment advisers
  • Mock Examinations (SEC, FINRA, State), Gap Analysis and targeted compliance reviews

Regulatory Services

  • Market regulation
  • Customer account handling
  • Comment letters on SEC and securities SRO proposed rule changes
  • No-action requests

Litigation & Enforcement Defense

  • Defending against government agency and SRO inquiries, investigations and enforcement actions, including targets of alleged insider trading, market abuses, trading practices and failure to supervise
  • Representation in arbitration proceedings at FINRA, NFA and other SROs