Securities

When you need a strong advocate and smart mind on your business’s side, we answer.

We have helped a variety of companies with raising capital through exempt securities offerings and with compliance issues, including Sarbanes-Oxley compliance. A significant portion of our securities practice involves representing brokers and brokerage firms in employment-related disputes administered by the Financial Industry Regulatory Authority (FINRA), and in handling TRO and preliminary injunction proceedings in state and federal court. These matters typically involve disputes relating to non-compete and non-solicitation agreements, trade secrets, and forgivable loans.

We also assist with the formation of Registered Investment Advisors, including the completion of Form ADVs and the drafting of related brochures. We are familiar with the strict rules that must follow to ensure RIA approval and on-going RIA compliance.

Other areas in which we have knowledge and expertise include:

  • Broker-dealer regulatory compliance
  • Corporate governance counseling
  • Minority shareholder oppression actions
  • Proxy contests
  • Shareholder derivative actions

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