SECURITIES REGULATION

Advise on complying with securities regulations from a cost and operational perspective, managing risk, and implementing best practices.

FUND FORMATION

Structure, organize and launch flexible pooled fund structures in a variety of investment strategies, vehicles, industry sectors and jurisdictions.

SECURITIES ENFORCEMENT

Representation in investigations and enforcement proceedings brought by the SEC, state securities commissions, FINRA and other self-regulatory organizations.

CORPORATE

Sophisticated corporate counsel, including, the structure and formation of any new venture, preparation of agreements, and day-to-day business and legal advice.

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“Lauren is an outstanding securities attorney. She is responsive, thorough and insightful in her advice regarding a wide variety of securities law issues. Her demeanor and personality enable me to develop a trust and confidence in her advice. She is a valued advisor to my international broker-dealer and investment adviser firm.”
Carlos Fuenmayor - Founder and CEO , BancTrust & Co. Investment Bank