Chicago Securities Attorneys represent sellers and buyers in acquisitions of broker-dealers, investment firms, and registered investment advisors (RIA). Besides the regulatory expertise which is required to make these acquisitions in the investment industry, the firm has a lot of knowledge of the business concerns that are essential in completing such acquisitions which represent the buyer or the seller.
The knowledge is required to successfully complete new member and continuing member applications before exchanges (NYSE, CBOE, and CHX) and organizations which are self-regulatory like Financial Industry Regulatory Association and National Association of Security Dealers (NASD). The firm also organizes and gets regulatory approvals for federally registered investment advisors and state registered investment advisors. The firm not only provides legal advice but acts as counsellor to clients.
Services offered by Securities Attorney
Securities attorneys have experience and knowledge of industry. They have earlier occupied other posts like a General Counsel to an SEC registered investment advisor (RIA) and member broker-dealer of FINRA attorney. He has represented Fortune 500 Wirehouse broker- dealers in matters of securities arbitration and participates in all the major trading markets for off-floor operations and for on exchange.
The firm of the securities attorneys has represented traders, specialists, market makers, option traders, and member firms, security traders which include proprietary trading boutiques. He likes to have one- on –one relationship with his clients. He works to move projects from inception to end in a swift manner without overlying attorneys.
Other Services handled by Securities Attorney
The firm of the securities attorneys advises money managers, registered investment advisors (RIA) and hedge funds and helps clients in fund operation which includes arrangement of private placement memorandums and documents related certifying proper registration or legal exemptions.
The firm also handles arbitration, securities, mediation and litigation. The securities attorney gives advice, knowledge and experience to decrease the likelihood of litigation or arbitration. Clients are represented by the firm throughout the dispute resolution process. The securities attorney has created compliance programs for security firms of different sizes. The firm arranges reviews compliance programs, instructs on questions of sales practice and consults and conducts internal investigations.
When you hire a securities attorney make sure he has the right credentials as a securities attorney for a law firm does not mean much unless it is a reputed law firm. It is better to go through the past cases that he has handled which were similar to yours and were successful. It is better to sit with the lawyer you are going to hire and see if he has answers to all the questions that you have. It is better to have a securities attorney who is on the same page as you or he might advise you on wrong investments and you may lend in more trouble with litigation and arbitration.
If you want to hire a securities attorney to assist you and provide you with the necessary protection you can get in touch with us.