The Stark & Stark Investment Management & Securities practice understands the legal and practical issues confronting investment professionals in providing advice and counsel for investment adviser regulations, security arbitration, litigation and enforcement, broker-dealer regulations, investment company and hedge funds, investment banking & venture capital and corporate governance.
Attorneys in the Investment Management & Securities Practice Group include a former enforcement attorney from a state securities agency, a former mutual fund and broker-dealer compliance director and corporate secretary, and a member of the NYSE and NASD Boards of Arbitrators.
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Investment Adviser Regulation
The Investment Management & Securities Practice Group’s Investment Adviser Regulation practice represents investment advisers, financial planners, and certified public accounting firms throughout the United States. Our attorneys regularly speak on relevant issues at industry compliance seminars and CPA-CPE programs, and in local and national media. The Investment Adviser Regulation area also involves representing advisers before the SEC, CFTC and the Department of Labor. We have experience in obtaining exemptive, no-action and interpretive relief, assisting clients in regulatory examinations and representing them in enforcement actions.
Over the past ten years, Stark & Stark attorneys have presented numerous investment-related seminars to investment advisers, financial planners, and accountants on matters such as investment adviser registration, investment advisory agreements, investment suitability, state/federal compliance issues, the avoidance of client and regulatory complaints, and potential conflicts of interest.
Small to medium size clients often rely upon us as an “outsourced” legal counsel and compliance adviser, providing services to many investment advisers at a great savings over the cost of hiring and maintaining a legal department. We regularly assist the legal and compliance departments of medium to large size investment advisory firms and represent large advisors with significant internal legal capabilities who seek to leverage our extensive experience in complex issues and the latest developments.
We have been an active counselor in numerous transactions involving the purchase, sale, or merger of investment advisory practices.
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Securities Arbitration, Litigation & Enforcement Matters
Our Securities Arbitration and Litigation lawyers, together with other Stark & Stark attorneys from a broad array of legal disciplines, handle complex litigation matters, shareholder derivative suits, arbitrations, regulatory investigations and proceedings, parallel criminal and civil proceedings, sales practices claims, employment discrimination claims, U-4 and U-5 defamation claims, unfair competition, markups and other claims of sales practice violations. The range of proceedings includes subpoena enforcement, administrative hearings, SRO disciplinary proceedings and others.
Broker-Dealer Regulation
Our Broker-Dealer Regulation attorneys assist clients with the formation of and ongoing compliance matters pertaining to securities broker-dealers, representing broker-dealers and other securities professionals in their capital market transactions and regulations, advising them on all aspects of U.S. federal and state securities and commodities laws, including regulation by the national securities exchanges, FINRA and other self- regulatory organizations, and assisting them with respect to regulatory audits, continuing education, licensing, and enforcement matters.
Investment Company / Hedge Fund
Our Investment Company/Hedge Fund unit has significant experience in both the Investment Company Act of 1940 and the Investment Advisers Act of 1940. We regularly provide advice regarding securities, derivatives, tax, ERISA, litigation and other legal matters to a variety of registered investment companies and hedge funds. Additionally, we provide assistance with the formation and operation of mutual funds, hedge funds, venture capital funds, and other private equity and commodity pools and also provide compliance services, including analysis and development of compliance policies and procedures, compliance audits, and draft disclosures and responses to SEC examinations and document requests. Our attorneys have acted as counsel to limited liability companies, commodity pools, and open-end and closed-end funds registered with the SEC.
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Company Governance
As an extension of Stark & Stark’s Investment Management & Securities Practice, our Company Governance attorneys assist clients of the firm with the establishment of various entities, including corporations, limited partnerships, general partnerships, limited liability companies, business trusts, and other companies. Our guidance and support continues through the issuance of securities, preparation of company minutes and resolutions, and assistance with change of control and related matters involving governance of the entity.
Investment Banking / Venture Capital
The Investment Banking/Venture Capital practice is called upon to represent entrepreneurs starting up new enterprises, and assists them in every step of the process, from initial strategies and review of business plans, through negotiation with funding sources, working on various rounds of financing and private placements through initial public offerings and secondary public offerings.
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