Whether launching a new broker-dealer, investment bank, or investment advisor, grappling with the challenges posed by the ever-changing regulatory environment or representing an investment banking concern in due diligence and structuring of a sell-side transaction, the extensive expertise and experience of T&L’s partners provides our clients with a distinct advantage.  T&L has represented financial services firms in connection with all virtually all issues facing these firms and their operators including all manner of regulatory and SRO (FINRA, CFTC, NFA) registration and licensing, internal corporate governance matters, due diligence, merger and acquisition activities, and SEC enforcement defense matters.

• FINRA broker-dealer formation, licensing and registration
• State / federal registered investment advisor formation, licensing and registration
• CFTC commodity pool registration
• SEC, FINRA enforcement defense and resolution
• Purchase/sale of broker-dealers
• Transactional due diligence
• Sell-side deal structuring and legal advisory
• Foreign market registration

• Formation and representation of Cayman Islands investment company and exempted investment advisor in connection with structuring of principal guarantee investment product in conjunction with top-tier European bank
• Representation of broker-dealer and its owners in connection with FINRA enforcement action alleging market manipulation and late trading activities
• Representation of broker-dealer and its owners in connection with FINRA arbitration and appeal of panel decision to US District Court (resulting in published decision on court’s ability to review discretionary findings of arbitration panels)
• Formation of a new broker/dealer and boutique investment bank
• Formation of exempted offshore investment advisor in the British Virgin Islands
• Representation of broker-dealer in connection with due diligence, structuring and documentation of offering materials in connection with private placement of wireless telecommunications concern