Practice

Practice Clients Attorneys Consulting Appearances Offices Inquiries

 

The Hamburger Law Firm is a boutique firm that maintains a national practice in areas that appropriately address the needs of its clients: investment advisers, broker-dealers, hedge funds, family offices, and registered securities personnel.  These clients call on us to address their specialized needs and we may collaborate with their general and/or local counsel to facilitate their overall objectives.

 

  •  INVESTMENT ADVISER & BROKER-DEALER COMPLIANCE

    • Registration

    • Regulatory Compliance

    • Client Agreements

    • Regulatory Examinations

    • Arrangements with Service Providers and Other Industry Professionals

    • Commodities & Futures

    • ERISA and Fiduciary Responsibilities

    • Compliance Meetings

    • Policies & Procedures

  •  REGULATORY CONTROVERSIES

    • Response to Inquiries from Securities Regulators

    • Disciplinary Proceedings

    • Regulatory Inquiries & Examinations

    • Enforcement Action Representation

    • Ongoing Relations with Regulatory Authorities

    • Other Regulatory Controversies

  
 

  •  COMPANY ESTABLISHMENT & GOVERNANCE

    • General Corporate Matters

    • Entity Formation, Organization and Structuring

    • Operating and Shareholders Agreements

    • Capital Structuring

    • Business Combinations, Reorganizations, Mergers and Acquisitions

    • Succession Planning and Transition Strategies

  •  SECURITIES INDUSTRY EMPLOYMENT

    • Exit Strategies

    • Employment Contracts

    • Restrictive Covenants

    • Temporary Restraining Orders and Injunctions

    • Other Employment Controversies

  
 

  •  DISPUTE RESOLUTION

    • Client Complaints and Settlements

    • Industry Defense Arbitration

    • Settlement Negotiations

    • Civil Litigation

  •  PRIVATE INVESTMENT FUNDS (INCLUDING HEDGE FUNDS)

    • Formation, Organization, and Structure

    • Compliance

    • Dissolution / Wind-up

    • Agreements with Service Providers

    • Coordination

 
 

  •  INTELLECTUAL PROPERTY

    • Trademarks, Service Marks, and Copyrights

    • Licensing

    • Dispute Resolution

  •  SECURITIES TRANSACTIONS & REGULATION

    • Private Placements

    • Venture Financing

    • Blue Sky

 
 

  •  COMMERCIAL

    • Financing and Workouts

    • Real Property Transactions

    • Mortgage Banking

 

  
tel.201.705.1200   fax.201.705.1201

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