Practice Areas
01.
Going Public/Emerging Companies
02.
Cryptocurrency and Blockchain Capital Formation
03.
Mergers and Acquisitions
04.
REITS Formation
05.
Hedge Fund Formation and Compliance Services and Counseling
06.
Venture Capital and Private Equity Transactions
07.
Broker/Dealer Formation
08.
Securities Industry Compliance Services and Counseling
09.
Securities Industry Arbitration and Litigation
10.
FINRA OTR Hearings
11.
Securities Industry Enforcement Defense
12.
Commercial Litigation and Alternative Dispute Resolution
13.
Real Estate Transactions
14.
EB-5 Immigration and Naturalization Programs
We are currently acted as Defense Counsel in the first ever Enforcement Action by FINRA in the Bitcoin / Cryptocurrency area in the Matter of FINRA Department of Enforcement v. Timothy Tilton Ayre, Docket # 2016049307801.
01.
Going Public
We can take your company public or assist you in raising money through private placements. For public offerings, we advise you on various options, including Form S-1, Regulation A+ and Form 10 Registration.
02.
Reits Formation
We consult with you on various options for you: Public versus Private REITS and with the filing of registration statements using Form S-11 or Regulation A+.
03.
Broker-Dealer Formation
We guide you through the entire broker-dealer formation process, including registration with the United States Securities and Exchange Commission and FINRA and/or NYSE membership. In addition, we will assist in providing you with the necessary licensing registrations such as the General Securities Principal (GSP or Series 24) and Financial and Operations (FINOP or Series 27), including Registered Options Principal (ROP or Series 4) in the event you wish to engage in options transactions. We will hold your hands throughout the process and provide you with on-going consulting services as needed. If you have FINRA Disciplinary challenges, such as suspension and statutory disqualification, we will guide you through the process of re-admission and provide you with the necessary policies and procedures to stay in business to meet the standards of your readmission.
04.
Investment Advisor Formation
We guide you in the preparation and filing of Form ADV and registering your Investment Adviser under the applicable regulatory regime; assist in preparing the Written Procedures Manual and provide ongoing consultancy for periodic filings and compliance. In addition, we provide you with mock audits with a view to gauging your compliance systems and procedures and preparing you for regulatory audits.
