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24 Apr, 2018 by Denise
Attorney Paindiris did an excellent job with legal advise and executing our articles of incorporation and business agreement for our medical marijuana dispensary
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22 Feb, 2016 by Ted
Nick has been our lawyer for our family business for over 20 years. He has assisted us in growing our business with the utmost respect, integrity, and has given us the vision and proper guidance to expand. I would recommend Nick in any capacity. We have worked with him from real estate to business to organizational legal issues. I do not think we would have as much success using a different attorney and I would highly recommend him.
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22 Dec, 2014 by Joe
Nick has worked with me and my companies over 20 years in a variety of areas from Real Estate to Business Acquisitions to working with the State of CT Economic Development and multiple closings. He quickly understands the pertinent information required to complete the transaction or pursue a resolution of a problem. No redundant billings I have received from other firms in the past.
I have full faith and confidence in him personally and his firm and would highly recommend and have to others.
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07 Mar, 2019 by Anonymous
Jephte is an adept and competent securities attorney. After contacting several attorneys in regards to fund formation, we decided to go with him. He gave insightful and actionable advice before we retained him and that ultimately influenced our decision. Jephte is one of the best investments that we have made in forming and protecting our business. We look forward to continuing our working relationship with Jephte.
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05 Feb, 2019 by Nathan
My confidence in Mr. Lanthia’s skills, and/or expertise is at an all time high. I have come to him with loads of questions and unsettling situations, of which he has done a phenomenal job handling and explaining .......Hands down! No matter where I am, I’ll always call Mr. Lanthia and he exceeds my expectations every time.
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28 Jan, 2019 by Anonymous
We initially hired Jephte three years ago to tie up some general corporate matters. Due to his proactive approach and excellent negotiating skills, we have continued to utilize his firm for ongoing corporate work. We find Jephte and his associates to be personable, well-informed and honest. Our company works on hard deadlines and Lanthia Legal often exceeds our expectations. Jephte and his firm are valuable to our business.
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03 May, 2024 by Kim huff
Justin was absolutely phenomenal. We could not have asked for more from an attorney.. He went above and beyond what was expected. He was there for us from the very beginning and every step till the very end of our case. He explained all the things we didn’t understand from the courts. He was very compassionate and genuinely cared about us and the loss of our son. He even called to check up on us after hearings. He got us the best settlement possible and we are forever greatful for absolutely everything he did for us and all his help. We will definitely call him again should we ever need his services.
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06 Jan, 2024 by Andrea vance
It has truly been an incredible experience working with Mr. Justin Gould. He has been extremely professional, diligent, and committed since our very first interaction. Despite any challenges that appeared along the way, he remained persistent and worked tirelessly on my case.
He was very timely with updates and always responsive and friendly. It is an honor to have entrusted him with my case, and we would highly recommend his services.
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21 Sep, 2023 by Charles church
Justin did an excellent job handling my Wife's car accident. He was very thorough, we never needed a lawyer until that accident. We highly recommend His services.
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24 May, 2024 by John freeman
Brett is a very knowledgeable attorney. He is kind and compassionate. I am happy to have
him as a counselor for my real estate business.
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10 Jul, 2023 by Lisa williams
Very professional and provided so much help!! 100 percent recommend them!
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24 Jan, 2023 by David henderson
03 Sep, 2015 by Anonymous
John represented us and helped us get out an employment contract where fraud was occurring. He was very competent and patient. I recommend him for any securities fraud and related contract issues
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28 Aug, 2015 by Dave
John was great in helping assist in a fraud case for us. Through the whole process, a lot of roadblocks were put in place by the responsible parties, but John was able to overcome them. Through the whole process, he was very good at making sure he or one of his partners were in touch with us, so we always understand where we were at in the process. I would highly recommend John!
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27 Aug, 2015 by Anonymous
John was very skilled, patient, and persistent in helping us with a default judgement that was placed against us. He handled himself with a professional manner throughout the entire process in spite of at times an irrational out of control plaintiff. I would highly recommend his services to anyone seeking a well qualified attorney.
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23 Feb, 2013 by Anonymous
Ms. Bernd-Schulz is an excellent attorney with years of industry experience and knowledge. She is adept at explaining the nuances of my legal situation and guided me through the options available. She is patient and always accessible. She is diligent and is always seeking to strengthen my business model. No issue is to big, small or complicated for Ms. Bernd-Schulz. She is a tireless advocate for my business and its needs.
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23 Jan, 2013 by Nerva
Dawn provides excellent legal services to her clients. She is very thorough and knowledgable. She has prepared my contracts for my business, and each one was prepared with specific requests, and careful considerations. Her execution is accurate and to the point. I highly recommend Dawn Bernd-Schulz.
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17 Jan, 2013 by Norma
DBS law firm has provided excellent service with regards to contract negotiation and certain corporate matters.
DBS took the time to explain in great detail, the specifics of my matters and I was able to grasp it with a clear understanding because she was able to explain complex legal issues concisely and in plain language.
A top-level attorney!
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10 Nov, 2017 by John
We have hired Trace on several different projects. He is able to view issues presented from many different angles and brings fresh perspective to the matters at hand. I look forward to working with him again.
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09 Nov, 2017 by Bill
Trace has provided us with tremendous support on complex "bet the company" litigation and compliance matters. He is smart, tenacious, ad tirelessly dedicated to getting the best possible result for his client.
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08 Nov, 2017 by Mark
Trace helped us win our case with thought provoking coaching and genius rebuttal. His preparation and creative mind is what separates him from others. Doing his homework and thinking about the case from all angles. He also goes above and beyond giving advice on quick calls that are off the clock. True customer service!
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28 Aug, 2024 by Carlos alvarez
05 Aug, 2024 by Ion preguza
28 Jun, 2021 by Rye infanzon
10 Nov, 2020 by Dennis
A broker had placed my mother's retirement savings in several high risk investments that lost value almost immediately. We weren't aware of these investments until after she passed away. David helped my family recover against the firm and they settled before court date.
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18 Nov, 2017 by Roger
Our office brought david in to help with investment related problems associated with a large client. He was referred to us by another attorney in San Diego. We were told if David couldn't understand these investments no one could. They were right. He met with us and took his time explaining the best way to handle. The client ended up hiring his firm also. We will be using him again.
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20 Jan, 2016 by Daniel
David and Tim have been retained by me for one year to negotiate significant domestic and international settlements, and they have shown and used when doing so the requisite skills which have moved settlements toward favorable results. They are at their best when preparing and evaluating cases, when using appropriate tactics, when using counter measures, when making first offers, when in direct examinations, cross examinations, and when in the examination of expert witnesses. Their writing is marked by being direct and precise, by blending precision with simplicity.
David and Tim are particularly sensitive to complex moral situations, where no rule of thumb applies, no simple appeal to a single principle can assure a rational outcome. In such an instance they can be counted on to sort out the conflicting factors to determine what law, rule, or principle bears upon the situation, and what are the relative urgencies which govern a timely action.
David and Tim command a family of intellectual traits and abilities which allows them to cope with the unexpected, grasp relations, and solve problems with speed and originality. Especially pronounced among their intellectual traits is their ability to create a congenial, professional relationship with their clients wherein written reports are delivered without fail on a designate date to a designated site to coincide with or be separate from timely discussions. Their work pays close attention to the importance of having everyone on the same page and having the client in charge and fully informed.
I am a retired California State Senator who has hired and dealt with a number of skilled attorneys at law in the private and public sector. I have place David and Tim among the best of them and have in writing this statement measured them against this lot.
Dan
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30 Sep, 2019 by Alex
Mr Underwood let me know what would happen from the begining and it happened just like he said. He didnt over charge me. He saved my Florida mortgage licenses. I highly reccomend Mr Underwood.
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08 Jan, 2010 by Jason
Very informative and personable always udated me and made me feel comfortable with his knowledge of my issue's. Was reasonable and was willing to work with me in my situation.
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24 Nov, 2009 by Anonymous
Mike gave me the correct expectation and followed through as he said he would. He acted professionally and I was honored to have him represent me. I would highly recommend him to anyone that needed his services.
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05 Oct, 2022 by Marissa russell
Ball Morse Lowe is an incredibly thorough firm; everyone I've worked with there have been the best at what they do and consummate professionals. Chris Michael, the attorney I've worked close with various times is second to none at what he does; as well as being timely, efficient, and an all around incomparably knowledgable legal mind. Could not recommend more!
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14 Jan, 2020 by Doug hall
Top notch lawyers
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30 Jul, 2019 by Nate lawrence
Very professional.
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09 Sep, 2022 by Nick gaglianese
Very nice people. Friendly. Easy to talk to. Hard working.
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03 Mar, 2020 by Stacy parker
03 Feb, 2019 by Lindsay stevens
31 Mar, 2020 by Shellu
Melanie goes above and beyond for her clients. She actually joined a firm I was already working with in regards to my case. She actually took over my case and was there for me every step of the way. Her response time to my emails and phone calls were amazing. I stayed stress about my case and she was there to help me and put me at ease. I hated to see her go but am excited to see her continued success. She is definitely on my speed dial if I need her for anything in a civil matter. Thank you!
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14 Nov, 2019 by Michael
Mrs. Trogolo was my public defender in a case where my son and I had a major incident. As i have read on here, she listened to me also, was compassionate and set me at ease, the best I could be in the situation. I am a registered nurse (at the time I was in a fix financially) and this could have ruined my career, but thanks to her it was saved. Mrs. Trogolo, I hope you read these, my case was February 5, 2017 and I have yet to forget who was there for me. I wish there was a way to repay you for what you did. if that is even possible. Thank you. MJK
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16 May, 2019 by Christine
Ms. Trogolo met with us quickly, and worked diligently to get my matter resolved in court on my behalf. She kept me apprised every step of the way, and her competence left me with no concerns regarding her ability to handle my case. I will definitely use her services in the future for any legal matters I have.
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02 Nov, 2017 by Omar
Allison helped me purchase my Coop stress free as she handled all of the paper work and thoroughly guided me through the whole process start to finish.
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29 Oct, 2017 by Sharon
At the recommendation of my real estate agent, I contacted Allison and, after speaking with her, I immediately hired her. I was in the process of buying my first coop apartment, and I was overwhelmed by everything it entailed. Allison was extremely knowledgeable about dealing with coops, and explained everything to me along the way so I would know what to expect. She was always available to take my call, or called me back after I left a message. Allison was very patient with me when my anxiety level got the better of me at times. Dealing with a coop purchase, as I came to learn, can be a very tedious, time consuming and, at times, frustrating process. Allison spent a great deal of time going over all the coop records she needed to review as part of her responsibilities as my lawyer. She was aware of the fact that I was very eager to move out of my previous apartment, and advocated for things to move along as quickly as possible. I always felt that Allison was doing everything within her power to be an advocate for me. This was especially true when Allison coordinated with all the parties involved so the closing date could be scheduled as soon as possible. In all of my contacts with Allison, she was professional, courteous and patient. I found her lawyer fees were very reasonable, especially considering all of the services that she provided. I would recommend Allison without any hesitation.
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26 Oct, 2017 by Karen
Attorney Walsh is the attorney for Career Connections Associates, LLC, Our entire team speaks very highly of her. She's responsive to our needs, consistently provides superior legal guidance and advice and has broad-based legal experience (which is invaluable to every business owner). Thus far she's provided guidance with regard to contract negotiation, policy and procedure, sexual harassment issues, labor matters and business development/expansion guidance and advice. One of of the best business decisions we've made is to retain Ms. Walsh!
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05 Oct, 2022 by Marissa russell
Ball Morse Lowe is an incredibly thorough firm; everyone I've worked with there have been the best at what they do and consummate professionals. Chris Michael, the attorney I've worked close with various times is second to none at what he does; as well as being timely, efficient, and an all around incomparably knowledgable legal mind. Could not recommend more!
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14 Jan, 2020 by Doug hall
Top notch lawyers
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30 Jul, 2019 by Nate lawrence
Very professional.
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21 Jun, 2019 by Antonio
Attorney John Kakinuki tremendously helped me with my divorce proceedings. He said divorce wasn’t his specialty but mine was an international marriage and he is expert in international work and was recommended by mutual friends in our church, so he worked hard to make sure everything went right.
He provided me with excellent service. He gave me a lot of professional advised as to how and what I should expect from the court.
He is very very professional, very knowledgeable. I was so impressed by his work ethics. My case went quick and smoothly because he paid attention to all the details and paperwork’s required by the court.
Honestly at that time I don’t care about anything. Divorce was a nightmare for me. All I know is I just want it done and get over it. Even today when I should forget the proceedings. I still recall how Attorney John Kakinuki treated my case very well. He gained my respect and admiration because he was not only there to represent but he also gave me emotionally support and I felt it.
He is such a great lawyer with integrity and a big heart.
If you need legal advice or question I will definitely, highly recommend Attorney John Kakinuki and you will not regret it.
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19 Jun, 2015 by Alice masuko
I was referred to John Kakinuki by a former colleague from the Baker & Mackenzie law firm. He was recommended as a professional with great integrity and an impressive history of experience in litigation and Intellectual Property both in the US and in Japan.
Even though my case was not related to intellectual property, John Kakinuki agreed to meet me and advise me about a case in Japan involving my family. From the very first meeting, I was impressed by his compassion and sense of justice as he provided me valuable advice at no charge.
Mr. Kakinuki demonstrated a profound knowledge of the Japanese justice system and Japanese lawyers' work ethics. He speaks with the confidence of many years of professional experience with litigation in Japan and in the US.
John Kakinuki reached out to his network of law professionals in Japan and procured a Japanese lawyer that spoke English and was willing to work for my family (who actually lives in Brazil). This was an enoumous help given the fact that the majority of Japanese lawyers will not work for foreigners. Mr. Kakinuki kindly initiated our first contact with the lawyer in Japan and helped us get started with our case.
I would highly recommend John Kakinuki as a lawyer. He is an impressive litigator who presents arguments and facts based on knowledge and experience when giving advice. I have great respect and admiration for his professionalism.
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09 Apr, 2015 by Jim
I have worked with John Kakinuki on various legal matters for a number of years. I have found his character and integrity are beyond reproach. His legal skills are top notch. I have seen him handle new legal matters with professionalism and skill. He has always produced excellent legal work product. I would recommend him without hesitation or qualification.
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05 Oct, 2022 by Marissa russell
Ball Morse Lowe is an incredibly thorough firm; everyone I've worked with there have been the best at what they do and consummate professionals. Chris Michael, the attorney I've worked close with various times is second to none at what he does; as well as being timely, efficient, and an all around incomparably knowledgable legal mind. Could not recommend more!
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14 Jan, 2020 by Doug hall
Top notch lawyers
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30 Jul, 2019 by Nate lawrence
Very professional.
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15 Jul, 2020 by Brigitte
Leslie is always there when I need help and I am very thankful for her! Thank you!
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23 May, 2013 by Anna
I was fortunate enough to meet Leslie about 8 years ago....she has been my personal attorney ever since, I know many attorneys but rarely met one who is so dedicated to her clients. She goes the extra mile every time. no issue is too large or too small. She has navigated me successfully thru career changes, business purchases and sales. Has saved me thousands of dollars in bad decisions that were avoided because of her advice. I have referred her to many of my clients and they have been extremely pleased 100% of the time. great communication, great representation, an A+++++ all the way, every time.
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15 May, 2013 by Steven
Ms. Feifer made me feel like she cared about my situation even more than I did. She is incredibly skilled as an attorney, and I feel very confident recommending her to anyone.
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24 Feb, 2016 by Anonymous
Mr. Hayes has helped me with my business needs, contracts, liabilities, etc. on numerous occasions. He has always been very professional and extremely professional and knowledgable. He was easy to communicate with and always had prompt response to calls and emails. I would highly recommend him as a lawyer and will continue to use him in the future.
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23 Feb, 2016 by Catherine
Jason is available, knowledgeable, professional for us anytime we have a simple question or need more guidance. He's trustworthy and would recommend him to anyone running a business or simply to get personal legal work done and done right.
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20 Oct, 2015 by Pete
I have had the pleasure of working with Jason multiple times on various legal matters such as the creation of legal entities, funding agreements, and drafting operational agreements. He is smart and efficient, understanding that many businesses don't have money to waste on lawyers. His past experience working for a large national firm gives him knowledge that you can not find for the rates he charges. I look forward to bringing more of my clients to Jason knowing each time that they will be happy with the result and happy with the bang for their buck.
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16 May, 2023 by Edrena banks
responsive to call but unable to help due to the matter being out of state.
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17 Oct, 2021 by Tristin linville
Elise was able to provide a very quick title opinion to aid in a quick closing. She was professional, thorough, and really assisted us in moving forward with closing the deal. We will be using her law office in the future.
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15 Jan, 2021 by Michael o'brien
It's amazing to find an attorney who is responsive and effective. Ms. Hayes understood that I wanted to be treated fairly and with respect. She's probably the most efficient lawyer I've seen. I had an issue with a corrupt landlord, and she handled everything with professionalism and promptness. I will definitely use her again since I now know she handles most legal issues.
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04 Feb, 2024 by Misty stevens
08 Jul, 2023 by Thomas montgomery
Kinder helped us develop our will and complete estate planning. She is kind, patient, understanding, and compassionate. Any questions we had regarding these important life documents were answered promptly and thoroughly. If you need legal planning or representation - you will find none better than Kinder.
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22 Sep, 2020 by Clair bartley
Kinder helped us with our guardianship report. She did a great job. We were very satisfied!
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08 Apr, 2020 by Amber
I was hit by a uninsured drunk driver and had injuries. I tried to handle it myself with the insurance company and wasn't even going to get enough to cover all the costs associated with the accident. Thankfully I decided to get some assistance from a lawyer. That Is when I met with Jarod and he handled everything and made sure that I got what I was owed. He was fair and worked hard for me.
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27 May, 2018 by Carolyn
Jared Rose represented us after our car accident and injures. He was very professional, supportive and always communicated with us in a timely manner. We had total confidence in him and his abilities. We highly recommend him.
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16 Feb, 2018 by Brent
I met Jared through a mutual friend and business acquaintance. He took my case on a contingent basis and did a great job. He was able to get my case settled. He was always prompt in taking my calls and getting back to me when not available. Very honest. Would recommend using him without question.
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22 Jul, 2009 by Anonymous
Scott advised us on an investment our company received from a large private equity firm. Scott is a well rounded executive with solid legal knowledge. He worked very hard to meet our needs and he was very effective in communicating with us and the other legal representation to ensure the deal was closed in a professional and efficient manner. Scott is a pleasure to work with and I would certainly recommend him for your firm’s corporate needs.
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21 Jul, 2009 by Anonymous
I am president of a financial firm who has used this lawyer while he was at McGuire Woods prior to 2008 and now at Baker & McKenzie in 2008 and 2009. He was involved primarily with M & A activities but also estate and tax planning plus consulted on other legal areas for my Company and me personally. I found
the attorney to be very knowledgeable in the matters at hand plus had easy access to other colleagues within the firm for areas outside his domain. I must say I am very impressed by his expertise in particular and the firm in general. I have recommended him and his firm to other company's in the financial industry both in the U. S, and Ex U.S.
PS: I noted the only other review for this lawyer on AVVO and must say the anonymous contributor should be ashamed for the obvious lies and "deliberately hostile and insulting content". It should be removed ASAP and
no such anonymous "mudslinging" allowed on the site. If I had to hazzard a guess, it appears to be a post from a gilted girlfriend!!
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21 Jul, 2009 by Anonymous
Scott handled a small corporate matter for my firm. He was hardworking, reliable and always kept us informed of the status of our project. We were pleased with the end product and would use him again.
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22 May, 2016 by Anonymous
Randall's performance in handling our case was of the highest professional quality. His knowledge and experience were clearly evident, and very extensive. We are totally pleased with his treatment of all issues. He was always very cordial and polite. If asked, we would gladly recommend him for any securities and investment fraud matters.
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20 Jul, 2015 by Elaine
Randall was very professional in handling our investment issue. He was always available and if not would return calls or email promptly. We would use Randall and his firm again, but hope we never have to and would recommend to anyone looking for attorney to assist and financial issues.
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17 Jul, 2015 by Elaine
Randall Place was very professional and knowledgeable in pursuing our investment case. He was very easy to contact and if not available would respond promptly. We would use him and his firm again, but hope we never have to.
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30 Oct, 2015 by Mark
While Chairman of the TIF Commission, I have been involved in the engagement/hiring of Carl Yates to create, document, defend, communicate & follow-up with and to our commission board, public and interested parties.
During this time and continuing today, Carl has also been engaged (consulting and hired) to create and provide legal support for TIF/Economic efforts.
While Carl possesses a wealth of knowledge and experience in Public & Tax Exempt Finance, he remains focused on the delivery of timely solutions and remedies to our various needs.
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30 Oct, 2015 by Nola
Mr. Yates is knowledgeable of the bonding procedures and rules. He was attentive and patient in his responsiveness and insight. Mr. Yates identified specific issues where our District needed to take steps to further our interest and made sure that we were in the know of the process along the way. He handled our needs quickly even with a short timeline in place upon his services being requested.
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24 Jun, 2015 by Anonymous
Carl is one of the most knowledgeable and experienced lawyers in his field. He is creative in his approach to the law, seeking answers and solutions on behalf of the client. Less concerned about billing and more about finding a solution, He approaches any question, or case with the same intensity no matter the size or glamor of the case.
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08 Aug, 2024 by Jc
Roman Law Firm truly exceeded my expectations. He provided several opinion letters on our thorny business matters, which were crucial in navigating complex legal landscapes. His attention to detail and thorough understanding of the law ensured that our transaction was seamless. I highly recommend Roman Law Firm for any business or real estate legal needs.
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11 Jun, 2024 by Sharon
Roman helped incorporate our company seamlessly, drafted comprehensive bylaws, and expertly resolved complex corporate issues. His legal expertise is invaluable.
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15 May, 2024 by Eric
I had the pleasure of working with Roman, our attorney, and his team since 2023. They are highly knowledgeable and professional, providing exceptional support during the often complex and stressful bankruptcy process. Roman and his associates demonstrate remarkable patience, offering advice that is beneficial in the long run.
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23 Sep, 2015 by William
We really liked working with this attorney. He explained to us exactly what we needed to do and what would take place on his part. We went to our appointment one day earlier than we should of but he fortunately had a cancellation at that time and gladly worked us in. Once we did everything he told us things went along smoothly. There were no surprises because if he wasn't there in court he would make sure another attorney would be there to represent us. I would highly recommend his services to anyone who had to file bankruptcy. It was good doing business with him because he took a lot of burdens off of our shoulders. He was very professional doing what he did for my wife and I.
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29 Dec, 2011 by Alissa
Doug did a great job of representing us during our bankruptcy. He never made me feel dumb for asking questions or sending him emails with questions. He was very professional and very thorough in explain how everything would work and what our options were. Filing for bankruptcy is something that is not easy but I felt at ease with Doug representing us. I have even had to contact him months after the discharge and he has been quick to respond and answer my questions
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19 Aug, 2011 by Anonymous
Mr Breyfogle helped us through a difficult time. He was very knowledgeable and professional. He was available when we had questions or needed help. He understands the process and things went exactly as he said it would. I highly recomend Mr. Breyfogle for you legal needs.
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10 Nov, 2015 by Jason
I have consulted with Alan on several areas of entrepreneurship and have found his advice and guidance to be forward thinking and succinct. He offered specific insight I had not considered and guided me towards the best outcome. I would not hesitate to call upon Alan again when the need arises.
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21 Jan, 2015 by Simeon
I have known Alan Walter for at least 18 years and during that time he has successfully represented me at least three times and I am forever grateful for his counsel as well as his broad knowledge in both the law and business. He is both smart and insightful as to how to address and manage complex legal and administrative issues and above all, his integrity has been remarkable. He has been scrupulous in his dealings with both me and my family along with others to whom I have recommended him to. He has always been available and easy to interact with.
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20 Jan, 2015 by Jerry
I've worked with other lawyers in the past, but I enjoyed working with Alan the most. He was, by far, the most responsive to my needs.
Alan helped me form and organize my LLC and addressed the issues that my partners and I were facing as a startup.
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23 Jan, 2023 by Patrick canning
Toddler Paradise!!!
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09 Apr, 2022 by Joanne ferretti
This office has taken care of my legal needs for 30 years. Thank you!
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03 Nov, 2020 by Kaushik vinjamur
09 Jun, 2008 by Anonymous
Bob is an excellent banking lawyer and advisor.
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06 Jun, 2008 by Anonymous
We've worked with Bob on bank regulatory and operational matters. He really knows his stuff and he's practical.
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05 Jun, 2008 by Anonymous
We worked with Bob during our recent acqusition of a bank in Colorado Springs. His knowledge and expierience paved the way to a succesful transaction.
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What a Financial Markets and Services Lawyer Can Do for You
A financial markets and services lawyer specializes in providing legal advice and representation to individuals, corporations, and financial institutions involved in various aspects of financial markets and services. These lawyers deal with issues related to securities regulations, banking laws, investment management, financial transactions, mergers and acquisitions, and regulatory compliance. They help clients navigate complex financial regulations, mitigate risks, and resolve disputes that arise from financial dealings.
Whether you're an investor, corporation, or financial institution, a financial markets and services lawyer can help ensure that your financial activities are compliant with the law and structured to protect your interests.
When Should I Hire a Financial Markets and Services Lawyer?
You should consider hiring a financial markets and services lawyer in the following situations:
- Compliance with financial regulations: If your business is subject to financial regulations, such as those enforced by the Securities and Exchange Commission (SEC) or other regulatory bodies, a lawyer can ensure compliance to avoid penalties or legal issues.
- Securities law and investment management: If you’re issuing, buying, or selling securities, a financial lawyer can help ensure that your activities comply with applicable laws and regulations, such as the Securities Act and the Dodd-Frank Act.
- Banking and financial transactions: Whether you’re a financial institution or a business engaged in complex financial transactions, a lawyer can draft and negotiate agreements, ensuring compliance with banking laws and regulations.
- Mergers and acquisitions: If your business is involved in a merger, acquisition, or significant restructuring, a lawyer can provide legal guidance on the transaction and ensure compliance with financial regulations.
- Resolving disputes: If you’re involved in disputes regarding securities fraud, financial misconduct, or breaches of fiduciary duty, a lawyer can represent your interests in litigation or arbitration.
- Investment fund formation: If you're setting up an investment fund, such as a hedge fund or private equity fund, a lawyer can help with legal structuring, regulatory compliance, and drafting fund documents.
- Financial product development: For financial institutions developing new financial products, a lawyer can ensure that these products comply with relevant regulations and market standards.
Hiring a lawyer with expertise in financial markets and services can help prevent costly legal disputes, ensure compliance with complex regulations, and protect your financial interests.
What Does a Financial Markets and Services Lawyer Do?
A financial markets and services lawyer provides a wide range of services, depending on the specific needs of their clients. Their responsibilities often include:
- Ensuring regulatory compliance: Financial markets lawyers help clients navigate federal and state regulations, including securities laws, banking regulations, and consumer protection laws. They ensure clients are compliant with laws such as the Securities Exchange Act, the Investment Advisers Act, and the Bank Secrecy Act.
- Advising on securities and investments: These lawyers provide guidance on issuing securities, registering securities with the SEC, and complying with insider trading and disclosure rules. They also advise investment managers and funds on compliance with the Investment Company Act.
- Drafting and negotiating contracts: Lawyers draft and review contracts related to financial transactions, including loan agreements, investment agreements, and derivative contracts, ensuring the terms are favorable and legally sound.
- Representing clients in litigation: Financial markets lawyers represent clients in disputes involving securities fraud, regulatory investigations, financial misconduct, and breaches of fiduciary duties. They also handle arbitration between investors and financial institutions.
- Mergers and acquisitions: Financial lawyers assist with the legal aspects of mergers, acquisitions, and restructuring transactions, conducting due diligence, negotiating terms, and ensuring compliance with relevant laws.
- Advising on financial products and services: Lawyers provide legal guidance to financial institutions on structuring and offering new financial products and services, ensuring compliance with financial laws and mitigating legal risks.
- Handling investment fund matters: For investment funds, financial lawyers assist with fund formation, management, and regulatory compliance, including preparing offering memorandums and filing with relevant authorities.
How Are Financial Markets and Services Lawyers Paid?
Financial markets and services lawyers typically charge for their services based on the complexity of the case and the type of legal work involved. Common payment structures include:
- Hourly rate: Many financial markets lawyers charge by the hour, with rates ranging from $300 to $1,500 or more, depending on the lawyer’s experience, the complexity of the work, and the jurisdiction. Hourly rates are common for advisory and compliance work.
- Flat fee: For specific projects, such as drafting a particular agreement or filing a regulatory document, lawyers may charge a flat fee. Flat fees are typically used for straightforward legal tasks.
- Retainer: For ongoing legal services, such as handling compliance issues over time or advising on multiple transactions, financial institutions may pay a retainer. This is an upfront payment that is billed against as the lawyer works on various matters.
- Contingency fee: In some cases, particularly litigation or arbitration over financial disputes, a lawyer may work on a contingency fee basis. This means they are paid a percentage of the settlement or judgment if they win the case.
It’s important to clarify the fee arrangement with your lawyer during the initial consultation to ensure you understand the total cost of services.
How Much Does a Financial Markets and Services Lawyer Cost?
The cost of hiring a financial markets and services lawyer depends on the complexity of the legal issue, the size of the transaction, and the lawyer’s experience. General cost estimates include:
- Hourly rates: Financial markets and services lawyers typically charge between $300 and $1,500 per hour. For example, routine compliance advice or contract drafting may cost between $5,000 and $20,000, depending on the scope of the work.
- Flat fees: For specific tasks like filing a securities registration or forming an investment fund, flat fees may range from $10,000 to $100,000, depending on the complexity of the project and the lawyer’s expertise.
- Retainers: Financial institutions or large corporations that require ongoing legal advice may pay retainers ranging from $10,000 to $100,000 or more, depending on the scope of the legal services and the length of the engagement.
- Contingency fees (for litigation): In financial litigation cases, a lawyer may charge a contingency fee of 20% to 40% of the settlement or judgment amount. For instance, if the case settles for $1 million, the lawyer may receive $200,000 to $400,000 as their fee.
Be sure to ask for a detailed breakdown of fees and costs during your consultation to ensure that legal services fit within your budget.
Top Questions to Ask a Financial Markets and Services Lawyer
Before hiring a financial markets and services lawyer, it’s important to ask key questions to ensure they have the necessary experience and skills for your case. Key questions to ask include:
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What experience do you have in financial markets and services law?
Make sure the lawyer has experience in the specific area you need help with, such as securities law, investment management, or banking regulations. -
How do you charge for your services?
Clarify whether the lawyer charges by the hour, offers flat fees, or requires a retainer. Ask for a detailed estimate of the total cost, including any potential additional fees. -
What regulatory issues should I be aware of?
Ask the lawyer to identify potential legal issues related to your financial activities or transactions and how they plan to ensure compliance with relevant laws. -
How will you protect my business interests?
Ask how the lawyer plans to mitigate legal risks and protect your financial interests in any transactions, disputes, or compliance matters. -
What is your track record in financial litigation or disputes?
If you’re involved in a legal dispute, ask the lawyer about their experience in financial litigation and their success rate in similar cases. -
How long will the process take?
Whether you need help with regulatory compliance, a transaction, or litigation, ask the lawyer how long they expect the process to take. -
Can you provide references?
Ask for references from other clients in the financial sector who have worked with the lawyer on similar matters.
How to Check the Credibility of a Financial Markets and Services Lawyer
To ensure you are hiring a reputable financial markets and services lawyer, take the following steps to verify their credentials and experience:
- Verify their bar status: Check with your state bar association to confirm that the lawyer is licensed to practice law and has no disciplinary actions against them.
- Look for relevant financial experience: Review the lawyer’s website or professional profile to ensure they specialize in financial markets and services law and have experience in the specific areas you need help with.
- Read client reviews and testimonials: Look for reviews on platforms like Avvo, Martindale-Hubbell, or Google to see what previous clients say about their experience working with the lawyer.
- Ask for references: A credible lawyer should be able to provide references from past clients who have worked with them on financial markets or services matters.
- Check for certifications or memberships: Look for certifications or memberships in relevant legal and financial organizations, such as the American Bar Association’s Business Law Section or the Securities Industry and Financial Markets Association (SIFMA).
What Should I Prepare for My First Consultation?
To get the most out of your first consultation with a financial markets and services lawyer, it’s important to come prepared with relevant documents and information. Here’s what you should bring:
- Details of the financial matter: Provide a clear summary of your financial transaction, regulatory issue, or dispute, including key details and any potential legal concerns.
- Contracts and agreements: Bring any contracts, investment agreements, or loan documents related to the matter so the lawyer can review them.
- Correspondence with regulatory agencies: If you’ve received communication from regulatory bodies (e.g., the SEC or FINRA), bring copies of these documents to help the lawyer assess your compliance or legal exposure.
- List of questions: Prepare a list of questions about the legal process, potential outcomes, costs, and the lawyer’s strategy for handling your case.
- Details of previous legal issues: If you’ve faced previous legal challenges related to financial matters, provide information on those cases, including any settlements or judgments.
By preparing thoroughly for your consultation, you can help the lawyer assess your situation more effectively and provide the best possible legal advice for your financial markets and services needs.
