Leech Tishman’s Corporate Practice Group regularly advises members of the investment management industry on a variety of regulatory and transactional matters.
Our team counsels investment advisory firms, investment management firms, private equity funds, fund service providers, and retail investors on legal issues ranging from general regulatory guidance to specific compliance or operational issues. We also provide counsel and legal assistance with state and federal securities enforcement matters such as inquiries, examinations, and investigations.
Our attorneys are well-versed on the myriad issues facing this complex and highly-regulated market. We are committed to helping our clients fulfill their fiduciary obligations and manage risk while protecting and growing their business.
- Assistance with RIA formation, registration, operation, ongoing compliance, partnership and/or IAR disputes, terminations, and business divorces
- Compliance with SEC, FINRA and state securities laws, regulations, and rules
- Assistance with SEC, FINRA, CFP Board, and state securities inquiries, examinations, investigations, and enforcement proceedings
- Customer complaint expungements and related disciplinary issues of IARs
- Development and implementation of vendor, solicitation, and consulting agreements, advisory contracts, and customer disclosure statements
- Investigations by state insurance agencies
- Securities mediation, litigation and arbitration
- M&A involving the financial services industry
- Served as Chief Compliance Officer and Chief Counsel of SEC-Registered Investment Advisory Firm and related Robo-Advisor
- Defended Investment Management Firm and owner in multi-million dollar SEC investigation involving mutual fund share class disclosure
- Prepared and assisted SEC-Registered investment advisory firms with SEC examinations
- Assisted investment advisory firms with formation, initial registration, ongoing compliance and review and negotiation of vendor and solicitor agreements
- Represented investment advisory and insurance firms and executives in investigations by state securities and insurance agencies
- Obtained Order of Expungement of Customer Dispute for investment advisory firm
- Represented business owner of SEC-registered investment advisory firm in business divorce and related SEC examination
- Defended individual against FINRA inquiry involving individual contribution to investment advisory firm
- Defended individual in CFP Board investigation regarding prior criminal matters
- Successfully negotiated on behalf of financial advisor with investment management firm’s compliance team regarding baseless customer complaint
- Represented investment adviser representatives in termination involving defamatory Form U5s
- Represented former suspended financial advisor in reentering securities field
