Our Practice Areas
- Going Public/Emerging Companies
- Cryptocurrency and Blockchain Capital Formation
- Mergers and Acquisitions
- REITS Formation
- Hedge Fund Formation and Compliance Services and Counseling
- Venture Capital and Private Equity Transactions
- Broker/Dealer Formation
- Securities Industry Compliance Services and Counseling
- Securities Industry Arbitration and Litigation
- FINRA OTR Hearings
- Securities Industry Enforcement Defense
- Commercial Litigation and Alternative Dispute Resolution
- Real Estate Transactions
- Commercial Landlord/Tenant Matters
- EB-5 Immigration and Naturalization Programs
We are currently acting 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.
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 S-1, Regulation A+ and Form 10 Registrations and provide you with low cost services for preparation of offering documents and filings with the SEC, FINRA and State Administrators. If you are for foreign company seeking to access US capital markets through debt or share offering, we advise you on various avenues, including preparation and filing of Form F-1 Registration Statements or through Reverse Merger vehicles and guide you through the entire IPO and listing process. In addition, we are in the cryptocurrency space. We provide advise on raising money for Cryptocurrency and Blockchain Trading and Exchange Platforms.
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+. or via Form 10 merger and/or acquisition.
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.
Investment Advisor Formation
We guide you in filing Form ADV and registering your Investment Adviser under the applicable regulatory regime; assist in preparing the Written Procedures Manual and provide on-going 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.