Corporate & Securities

We assist business owners, operators and investors in pursuit of their respective goals, including the choice of entity, investment banking and private financing, corporate organization and shareholder / partner relations and dispute resolution. We represent national and regional brokerage firms as well as individuals in regulatory compliance, arbitration and employment matters, including proceedings before the NASD and NYSE, state regulatory agencies and similar organizations.

• Represented multiple business entities at all stages of their operations, including entity selection and formation, equity investment and on-going corporate organization, management and control issues.
• Represented multiple securities broker-dealer and registered representatives in all phases of regulatory litigation, including NASD and NYSE arbitration proceedings.
• Represents NYSE Financial Services Company in regulatory litigation and compliance matters.
• Represented multiple entrepreneurs in early stage start-up, entity selection and formation, equity investment and general corporate organization and control issues.
• Represented an institutional pharmacy client in the growth of its business through additional entity formation, outside capital investment, facility acquisition and franchising.
• Represents franchisees of national franchisor license agreements including McDonald’s and Hilton Hotel franchises.