Financial Institutions

When some of the securities industry’s most prolific firms need collaboration with in-house counsel or assistance with legal project management, or when investment advisers need to augment the capabilities of their trusted local counsel, we respond to the call. We have represented some of the nation’s leading financial institutions – from independent investment advisers and broker-dealers to RIA custodians to family offices – with some of their most challenging legal issues.

Investment Advisor and Broker-Dealer Compliance

Regulatory Controversies and Dispute Resolution

Corporate Counsel

Securities Transactions & Regulation