FINANCIAL SERVICES

Investment advisors, broker-dealers, and financial services providers need experienced advisors and advocates. RK attorneys will guide you through transactions, investigations, and disputes.

Successfully navigating any regulatory environment starts with strong policies and effective training. The RK team will help you:

• Implement and maintain effective compliance policies and programs;
• Train your team on compliance topics, such as recordkeeping and communicating with clients and regulators; and
• Keep ahead of SEC, FINRA, CFPB, and MSRB developments and track enforcement initiatives and rules changes.

Our attorneys will help you respond to the challenges of day-to-day operations by providing cost-effective structuring advice, document preparation and review, due diligence assistance, and risk management strategies. RK’s tax and corporate attorneys will help you:

• Structure investment opportunities, vehicles, and transactions that achieve your tax goals and those of your investors, including tax-exempt organizations and pension funds; and
• Prepare and review investment documentation, including offering documents, subscription agreements, and investment purchase agreements.

If the SEC, FINRA, the CFPB, or the MSRB initiates an investigation, our experienced team will guide you from the first inquiry through any subsequent enforcement or disciplinary proceedings. We will help you comply with requests in a forthcoming manner while positioning you to achieve the best possible outcome. If you become the subject of an enforcement or disciplinary proceeding, we will work with your team to minimize costs and mitigate reputational damage.

We will bring our substantial experience to bear when representing you in adversary proceedings, including:

• FINRA arbitrations involving customer disputes or industry disputes;
• State court proceedings involving breaches of fiduciary duty, business torts, fraud, breach of contract, and shareholder, member or partner disputes; and
• Federal court proceedings, including claims of securities fraud, unfair or deceptive trade practices, antitrust and unfair competition, and consumer class actions.

PRACTICE AREA LEADER