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Practices Practices Section


Financial Services

Overview Press Room


As financial institutions adjust their investment and compliance operations to anticipate market developments, our Financial Services Group is there to provide them with the pragmatic advice and legal solutions that are critical to their continued success.

Our interdisciplinary financial services team represents U.S. and international brokerage firms, investment banks, futures commission merchants, investment advisers, investment companies, hedge funds, private investment funds and banks, counseling them on formation, regulatory matters, governance issues, employment law, benefits plans, corporate transactions, internal investigations, civil enforcement defense, criminal prosecution, dispute resolution and complex litigation.

Many of our lawyers are former prosecutors, regulators with the SEC and SROs and general counsel and compliance officers at industry firms, giving our group highly textured insight into the mindset of regulators and industry participants alike, along with a nuanced understanding of the industry's history and ongoing evolution. Our enormous breadth of technical and practical knowledge about how securities businesses operate results in our financial services team having the kind of judgment and experience that is critical to effective counsel. We look beyond the immediate implications of any particular matter to recognize the market and regulatory forces that may advance or thwart our clients' pursuit of their long-term business objectives.

Areas of Focus

  • Capital Markets Transactions, Mergers and Acquisitions and Investment Product Development
  • Compliance and Disclosure Responsibilities
  • DOJ Prosecutions, SEC, SRO and State Enforcement Proceedings
  • Domestic and Cross-Border Regulatory Advice
  • Employment Counseling and Litigation

  • Formation, Acquisition and Merger of Broker-Dealers and Investment Advisers
  • Formation and Offering of Hedge Funds and Other Pooled Investment Vehicles
  • Governance and Investor Relations
  • Internal and Regulatory Investigations
  • Securities Class Actions and Other Complex Litigations
  • SRO and AAA Arbitrations
  • Transactions Involving Equity, Debt and Convertible Securities, Options, Derivatives, Futures and Electronic Markets