Broker-Dealers

 

We advise broker-dealers in their capacity as securities brokers and transactional advisors.  We regularly advise on underwriting agreements and placement agency agreements, and assist our broker-dealer clients with the review of offering and transaction documents as well as conducting underlying legal due diligence.  We have first-hand experience in handling day-to-day operational and compliance matters affecting broker-dealers.  As a result, we are able to provide our broker-dealer clients a unique level of insight in our counseling. 

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