GENERAL COUNSEL

ARE YOU CONSTANTLY DEALING WITH TERMINATION ISSUES? DO YOU HAVE QUESTIONS ABOUT CONTRACTS? DO YOU NEED GUIDANCE ON LEGAL REQUIREMENTS THAT APPLY TO YOUR BUSINESS? ARE YOU WORRIED ABOUT POTENTIAL HR ISSUES?

Overview

You may be feeling overwhelmed trying to understand the impact your decisions may have. Terminating an employee, even one that caused numerous problems, could lead to lawsuits, dealing with unemployment claims, and potentially losing clients. Sometimes, you may have to deal with an adviser who is soliciting clients away even though they are subject to a non-compete and non-solicit agreement. If you don’t have written agreements, haven’t documented issues as they come up, or have a procedure in place, then you may feel even more stressed. These are things that will be requested in any potential lawsuit or unemployment claim.

Are you wearing multiple hats in your business? Are you overwhelmed managing risk, complying with your regulatory requirements and dealing with vendors and technology providers?

As a business owner, these are just some of this issues you may deal with on a day to day basis. We work with RIA firms through every stage of development of their business – from working with break-away brokers on their transition to independence, to creating, designing and structuring new firms and platforms through our strategy sessions and legal implementation, to helping RIA firms grow via deals to add new advisors (including dealing with their employment transition issues) and mergers and acquisitions to assisting with exit deals and succession planning implementation advice and services. Our attorney team will help you stay in front of the myriad of issues facing the broker-dealer and registered investment advisor industry today and be there to maximize outcomes in the increasingly complex environment of regulatory issues and litigation. In addition to providing regulatory and compliance advice, we also assist clients in preparing for and responding to Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA,) and stock exchange document requests, examinations, inquiries, and enforcement proceedings. Key areas in which we assist broker-dealers and RIAs include:

We provide general counsel services tailored to each client’s needs

OUR SERVICES

  • 1. We request documents, affdavits, and other evidence.
  • 2. Corporate governance matters
  • >> Participation in board meetings and drafting minutes
  • >> Advice on officer and director fiduciary duties and exposure to claims
  • >> Drafting and administration of equity plans
  • >> Preparation of corporate governance documents
  • 3. Executive issues and compensation
  • 4. Contract drafting, review, and negotiation
  • >> Software, technology, and license agreements
  • >> Non-compete, trade secret, non-disclosure, and non-solicitation agreements
  • >> Employment agreements
  • >> Contract research and development agreements, clinical trial agreements, and product commercialization agreements
  • >> Professional services agreements
  • >> Development or outsourcing agreements
  • >> Financing agreements
  • >> Vendor and services agreements
  • >> Leases
  • >> Other commercial contracts
  • 5. Employment and human resource matters
  • >> Employee hiring, retention, and termination
  • >> Employee handbooks
  • >> Workplace training
  • 6. Mergers and acquisitions (support and implementation)
  • 7. Privacy and data security (including emergency response and preparedness)
  • 8. Risk management, arbitration, mediation, and litigation
  • 9. Supervision or evaluation of local or special counsel
  • 10. Special projects

OUR WORK IS COVERED BY OUR
WE DEFEND OUR WORK FOR FREE GUARANTEE.

That means, if a regulator takes issue with any of our original work product, we will defend it FOR FREE.

Why are we offering you our services with no risk?

It’s really quite simple. First, we KNOW our documents meet and exceed regulatory standards.

But, we also realize you’re probably skeptical so we wanted to remove any hesitation or doubt you may have. Second, we trust you to be fair and not take advantage of us or our guarantee.

Ready to take the next step?