Experience

Our lawyers have considerable experience providing regulatory counsel to broker-dealers and investment advisers, and providing legal representation for our clients before the Securities and Exchange Commission, The New York Stock Exchange, and the Financial Industry Regulatory Authority (FINRA, formerly known as the NASD).  We also have experience in the international securities arena, working with non-U.S. issuers in the U.S. securities markets and with foreign counsel to help U.S. clients issue securities in overseas markets.  Our clients in the financial services industry include broker-dealers, registered investment advisers, hedge funds, private equity firms, a major securities information service, and individual investors.

A significant part of our practice consists of advising public and private companies in the role of “outside general counsel,” which involves us in a variety of legal tasks.  In this role, we are involved with our clients’ legal matters from inception (formation of business entities, negotiating and documenting the relationships among founders, and establishing contracts with key employees) through various stages of financing and day-to-day operations (private equity financing, public offerings of securities, tactical contracts with customers and suppliers, licensing, and advising as to officers’ and directors’ fiduciary responsibilities) to the transformative transactions necessary to the next stage of corporate life (mergers, acquisitions, strategic alliances, and reorganizations).  Our general corporate clients include both public and private securities issuers, and operating companies in a variety of industries and enterprises.