Overview

As an investment company, practical and cost-effective counsel is what you demand. With our deep experience with all types of funds, investors, advisers and brokers, it’s what we provide. We assist with domestic and offshore fund structures and offerings, management organizations, seeding arrangements, vendor agreements, state/SEC/FINRA/CFTC/NFA registration and investigations, advisory agreements, trading practices, conflicts of interest and compliance programs. We offer counsel on strategic transactions and conversions, governance requirements, formation and development of new products, and new legislative and administrative proposals, regulations, registration statements, exemptive orders and interpretations. And when investment firms and professionals face litigation and arbitration, including sales practices, wrongful termination and Form U-5 defamation claims, we are ready to deliver vigorous and strategic representation.

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