We provide practical and effective advice and solutions for financial services providers to navigate the maze of SEC, FINRA, and Blue-Sky laws and regulations.
We advise investment advisers, broker-dealers, private equity and venture capital partnerships, investment partnerships, national banks, and oil and gas ventures on a broad range of securities issues.
We prepare disclosure and corporate documents; negotiate and prepare contracts; prepare and file regulatory filings; interpret federal and state securities laws; and represent clients before FINRA, the SEC, and various state commissioners of securities. We also negotiate and prepare employment agreements.
We have special expertise with regard to investment advisers. We routinely advise clients on investment advisor and investment company laws and regulations. We prepare initial and annual filings (Form CRS, ADV etc.), compliance manuals and other supervisory materials, investment management agreements and related filings. We represent investment advisers who are either selling or buying practices. We also conduct compliance audits and reviews.
Our securities practice includes matters relating to mergers and acquisitions, broker-dealer fiduciary and suitability issues, fiduciary and trust issues, corporate trust and indentures, private placements, FINRA regulations and requirements and public filings.
We also work closely with our litigation and employment groups in defending and prosecuting customer securities arbitrations and employment litigation. We also represent clients in connection with related criminal proceedings in state and federal courts.
We represent a variety of investment advisers from large bank-based practices to single person shops in Louisiana and in the Gulf South. We advise on every step of the way from drafting the corporate documents, preparation of compliance manuals and written supervisory procedures, to preparing and filing Form ADV with the state or SEC. We negotiate and prepare employment agreements. We also advise and negotiate the sale or purchase of investment advisor firms.
SEC and FINRA Audits and Investigations
We have substantial experience responding to and working with the SEC and FINRA with regard to audit and investigations. We have represented clients in a variety of matters including insider trading, misrepresentation and omission cases, sale of unregistered securities, advertising rule violations, churning, and outside business activities.
John C. Anjier
John has a unique practice as he handles securities regulatory and transactional matters as well as securities litigation and arbitrations, including white collar crime. In John’s words, “My litigation and transactional experience for over thirty years gives me a unique perspective in helping clients’ needs because I have seen the problems that arise with bad or short-sighted advice.”