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28 Jan, 2014 by Christine
I have come to rely upon Joe Andolino for any tax-related issues and I've recommended him to friends and business associates. He has this natural ability of seeing what will and won't work , and has a great sense of how to accomplish even the most difficult task. What I appreciate most is his no-nonsense view but specific remedies to reach my goals. Joseph Andolino belongs in every business rolodex.
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04 May, 2013 by Delmar
Many business owners rely on third parties to take care of everything, which I did, and Mr. Andolino was very forthright and pointed out all the things I had done wrong or had not done over the years.
For example, his firm prepared paperwork for a Joint tenancy with rights of survivorship to protect my wife. Set up the paperwork to transfer property upon death without going through probate. His firm also completed the paperwork to reduce future estate taxes through exclusions. That was only the work for my personal estate; his firm also handed all the paperwork that needed to be filed for my business and partnership.
Sometimes it pays to get a second set of eyes to go over your financial documents and see what was missed and Joseph Andolino and Associates did an outstanding job.
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01 May, 2013 by Joan
Outstanding Tax Consultant! Worked through all the problems of my grandparents Estate and helped resolve the tax issues with their small business and the partners. Saved thousands of dollars in the end and then helped put together a feasible plan for my immediate family.
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02 Feb, 2021 by K diane
I can’t write in enough words how incredible Mr. Perel is. HIGHLY RECOMMEND!!!
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14 Jun, 2007 by Anonymous
I have known Andrew Perel on a professional level for 20 years. He is by far one of the best, most knowledgeable environmental/real estate/insurance coverage lawyers in the business. He combines a thorough knowledge of all issues/laws/regulations with an unbelievable business sense that helps his clients really succeed.
I would recommend him with the highest possible rating for anyone who has an environmental, real estate or insurance matter.
Sincerely,
DRL
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14 Jun, 2007 by Anonymous
My company has used Mr. Perel for several matters including litigation of real estate disputes as well as advise on environmental concerns. He brings a profound base of knowledge in these fields along with an impressive set of skills.
I look forward to a long a productive relationship with him.
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11 Apr, 2023 by Junior brooks
Best attorneys I have ever worked with in my life.
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19 Apr, 2022 by Jimmy harris
Will has been our attorney for several small businesses over about 5 years. He is thorough, knows his stuff, and gets back to you quickly when you have urgent issues. I highly recommend him.
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20 Oct, 2020 by Wendy daum
20 Jan, 2023 by Ya-ting
09 Oct, 2020 by Ben wood
Had a wonderful experience with John Assadi & Mauricio Martinez. They were tenacious through Covid and although it took longer than usual, they persevered and successfully got me an E2 Visa through much pain and distress. Fully recommend.
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05 Jul, 2020 by Matthew mccullough
15 Jul, 2015 by Jorge
I have dealt with Mr. Kogan in multiple occasions, in every case really quick responses and very clever and comprehensive solutions has been the result... nothing but praise..!
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11 May, 2015 by Roxanna
I have been working with Simon Kogan for over three years. He is one of the finest securities attorney I have had the pleasure to work with. He is professional and successful for all of his clients legal services needs. I highly recommend Simon for all publicly trading companies who need a great attorney.
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06 Aug, 2012 by Bo
July 31, 2012
Simon Kogan ESQ.
171 Wellington Court, Apt 1J
Staten Island, NY 10314
Dear Mr. Kogan
I would like to thank you for your efforts in having DTCC remove the deposit Chill off the Companies stock.
This Chill had a very negative effect on the investors, depositing shares and the shares tradability due to the DTCC Chill.
I have been told by others in the business that the removal of the Chill by DTCC is a very long and time consuming process, but thru your efforts, you accomplished it less than five months.
I thank you for your accomplishment and will highly recommend you to potential clients.
Sincerely
Bo [removed by Avvo staff]
[removed by Avvo staff]
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28 Aug, 2017 by Sun
I hired Joe to get our startup off the ground and prepare much of our incorporating necessities. We searched for professional counsel and received so much more from him. We wanted to work with a lawyer who would guide and help nurture our business, and initially believed our search would be a long journey. Luckily, we found Joe early on and there was no doubt he was who we were looking for. I believe we could easily have headed towards headache, stress, and all the niceties of starting a business, but our progress with Joe has been filled with accomplishments and cheers. He was extremely perceptive of the nature and stage of our business, so we did not spend much time explaining - he innately understood.
Joe is truly capable of an impressive array of qualities:
1. Extensive experience in business law
2. Attention to detail
3. Promptness (matter of hours, if not minutes)
4. Care and consideration (genuine interest in your best interests)
5. Eagerness and passion for his profession
6. Efficiency (ensures you get the best value)
Our company is in very good hands with Joe - we continue to work with him on a frequent basis and would recommend Joe in a heartbeat.
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26 Aug, 2017 by Mow
As the CFO/COO at my current company and COO at my previous one, I have worked with Joe as our outside counsel for several years and gotten to know him both professionally and personally. Joe is smart, experienced and attentive. He learns our business, keeps us up to date, and identifies and weighs legal and other risks while also balancing our business needs. He is quick, efficient, low-cost and also always available when we need him. Joe has provided excellent, strategic legal and business counsel across a range of issues, including obtaining our trademarks, preparing equity and convertible note financings, advising on and documenting our corporate governance needs, and working on potential acquisitions and joint ventures. He has negotiated all of our commercial contracts, including employment and consulting agreements, commercial leases, confidentiality agreements and vendor and customer agreements. He has also advised on business disputes, tax and employment issues, and negotiated our loan facilities. Overall, I highly recommend Joe for almost any business legal needs.
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14 Oct, 2016 by Tamara
We contacted Joe Waala to review a very lengthy and confusing modeling contract for our daughter. When we sat with Joe to discuss the contract, he had notes and questions and suggestions already prepared for us. Joe answered all of our questions and made sure we felt confident before we signed. He was very professional. He also followed up to see how things were going.
We were very pleased with Joe and highly recommend him!
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22 Nov, 2017 by Anonymous
Milton is a very well rounded and experienced attorney that takes a refreshing value add approach to client needs. We have worked together on a few client transactions and relationships, and his knowledge, expertise, and communication skills were top notch.
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14 Nov, 2017 by Jeff
I have know and worked with Milton for almost 15 years and have never know him to perform any less than excellent. His approach is calm, his experience is hard to match, his suggestions are always value added and his recognition of what is needed to be accomplished is comforting. Milton and I have had numerous documentation transactions over the years and I have never walked away with the sense that I was not well represented.
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14 Nov, 2017 by David
I was engaged by Milton as a forensic accountant to investigate fraud issues at one of his clients. Milton was extremely responsive to both the client and I. I could tell that, as the client's corporate attorney, he really cared about helping the client. Milton was very knowledgeable and professional in my dealings with him.
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10 Nov, 2015 by Anonymous
Konstantin reviewed my question and my follow up questions and gave me prompt, informational answers to all of my questions. I needed a consult on oil and gas law in Texas and he was very helpful and cited to Texas law with full explanations. I would not hesitate to hire him if I need further help.
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02 Jun, 2013 by Anonymous
Konstantin was able to get me my money fast!
When you are in a situation where money is on the line, it's nice to know that the attorney you hired is aggressive, means business, and knows how to apply the pressure that's needed to get real results.
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13 Apr, 2013 by Anonymous
Konstantin is a very reliable attorney. He provides service that is efficient, prompt and effective. I have come to Konstantin with various legal issues and he is always able to conduct the research necessary to answer my questions.
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14 Dec, 2022 by D rupert
Great attorney and Staff
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24 Nov, 2022 by Calvin logsdon
My parents have been clients of, and friends with, Mr. De Board since we moved to Columbus back in the late '70's. Great attention and no fluff. He is a great attorney for probate matters and his staff is very professional. Highly recommend this firm.
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23 Jul, 2022 by Sharell mikesell, phd
Very efficient service...great attention to details....very compassionate staff.
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11 Feb, 2016 by Jennifer
My company has been seeking the counsel of Felix Shipkevich for years now. Felix has always provided excellent, quality service. He has specialized experience in the derivatives field and always seems to know the answer to any regulatory question we may have. Furthermore, Felix goes above and beyond simply reciting the regulations or offering options. He carefully considers the options and weighs in on what he believes is truly in the best interests of our company. Because we have come to trust his dependable advise, the company will consult with him frequently even if only to verify via a conversation. We trust his work and his advice completely. It is always a pleasure to deal with him. He is reasonable, approachable, and often comes up with intelligent and creative solutions. I would highly recommend his services to any company or any individual.
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05 Feb, 2016 by Dragana
We have been working with Felix Shipkevich for a number of years.
Since we began working work with his law firm, they have become more a part of our team rather than an outsourced firm.
Felix Shipkevich made himself available at any time, understanding completely our needs.
His advice was always straightforward and accurate with detailed implementation processes that made all the work so much easier.
I would recommend this firm to anyone who is seeking corporate legal advice, regulatory advice or guidance because they will guide you every step of the way making sure that the client always gets the outcome they desire.
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04 Feb, 2016 by Michael
Felix has represented me on a number of issues and each time he has shown not only encyclopedic knowledge of the law but also a real concern for my problems. He is extremely competent and extremely caring. I am very comfortable giving my highest recommendation to Felix Shipkevich
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07 Nov, 2015 by Anonymous
I have hired Attorney Rosan a handful of times to assist with contracts, leases and real estate related matters. Her attention to detail, her understanding of the legal issues, and always being accessible has made working with her a pleasure. I would highly recommend her.
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26 Oct, 2015 by Tom
Shellie has changed the way we view lease negotiations and greatly enhanced our understanding of leases and has helped us to gain great advantage in our real estate dealings. She has saved us from repeated past sins in real estate dealings and is a tireless advocate for us. Additionally, she has connected us to some of her associates and clients to our mutual benefit! We love Shellie!
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14 Sep, 2013 by Jeff
Mr. Segel was able to get me the results that I wanted. He is very understanding and kept me informed every step of the way. I highly recommend contacting him and utilizing his services.
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02 Aug, 2012 by Phil
Excellent attorney who got the job done in an extremely efficient manner! I would recommend to everyone to reach out to him!
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12 May, 2010 by Diane f.
He got results and did it quickly and efficiently. Very personable and smart. Highly recommended for corporate, real estate and business transactions.
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24 Nov, 2009 by David simon
I worked across an extremely complex transaction with Mr. Grigorians. Both my clients and I were impressed with his performance and responsiveness. I recommend Mr. Grigorians without reservation and look forward to working with him again.
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24 Oct, 2022 by Elizabeth watanabe
Love this family run firm
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05 Feb, 2020 by Brad mcminn
07 Jun, 2022 by Katherine
This is my first experience in hiring an attorney and needed to do so for my spouse's case. Sincerely, I didn't know where to start. While reading different reviews online, and word of mouth recommendations, Richard came into play. He is very responsive, kind, communicative and reliable. Anytime I had a question or concern either from my spouse or myself, he always answered every phone call, text message or email. Having done everything remotely with me, he was very professional and trustworthy. He was very knowledgeable and explained all legal terms and procedures to us with time and diligence.
I would recommend Richard for any of your legal needs.
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07 Mar, 2014 by Anonymous
Richard is a great attorney. He was my lawyer this past year and got what I believe to b the best possible outcome. He is diligent and very professional. Would highly recommend him to all who need a great attorney.
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29 Dec, 2023 by Anonymous
I hired Jason for investment protection work. He did a quality job. I felt like he was on my side. Honest with his billings Smart and sophisticated. This case took some thinking as it was hard to explain to laymen and court officials.
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10 Aug, 2016 by Anonymous
I hired Mr. Haselkorn for a securities case. He gave me great advice and explained the various different scenarios and litigation strategies. He got me superior results in a good time frame. I feel he gave me realistic expectations and then delivered on them, even a little bit more. If you need a securities lawyer, he's the one.
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12 Oct, 2023 by Tony
Matthew took the time to let me ask all the questions I needed. He gave me a lot of useful advice. I plan to have Matthew handle my financial planning needs in the future.
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09 Jan, 2017 by Jacqueline
I have consulted with Matthew several times regarding tax and financial issues. I have found him to be extremely knowledgeable and helpful. Every time I meet with Matthew I come away having learned something new. Matthew is incredibly patient and takes the time to break things down and explain them step by step. Matthew is an excellent attorney and I would not hesitate to recommend him.
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31 Aug, 2015 by Nigel
We were looking for insight into a new venture, and if we should do it as part of our corporation or set up a new company. Jan gave us more than the simple answer to the question. She helped us to understand the nature of the interactions between the companies involved, tax ramifications of structuring the deal, as well as the most effective and profitable strategy for how we classify associated cost of goods internally.
She helped us to understand issues within our accounting systems and how that information would help us to have a deeper and more genuine insight into each step of the process between sales, product fulfillment and billing.
The new venture is up and running (well) and we have a stronger insight into how our businesses are performing. We've also reduced our tax bill. If you're looking for someone who is simply going to tell you what you want to hear, this might not be your attorney. If you're looking for the right answer, and expertise that crosses many valuable business disciplines (like we were), then Jan is a perfect fit.
Highly recommend.
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30 Aug, 2015 by Tim
Jan and her team provided my wife and me with some very helpful tax and estate planning services and got us on track to obtaining the most advantageous tax position possible on our rental properties.
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29 Jun, 2014 by George
Mr. Cary doesn't accept many cases. However he will work with you at resolving important issues that you may encounter. He is also a very successful businessman who provides guidance to companies large and small. He really helped me with a very large transactional issue that I was over my head on.
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29 Mar, 2010 by Tony
i was involved in several complex itigation matters and had Mr. Cary represent me for all of them. We won handily, even with one matter that was a long shot in my mind.
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30 Apr, 2013 by Carlos
Douglas has been working with Entic for over 2 years now advising on various items from patent filing, corporate strategy, litigation and investment strategies. Doug is a key part of our management team and continues to guide the leadership team in all aspects of corporate governance.
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24 Apr, 2013 by John
After 4 years, including regular and monthly corporate, securities and patent issues, as well as long-term and strategic healthcare and technology industry-specific advise, direction and opinions, Mr. O'Keefe and the firm have supported our organization from Series A funding through several stages of growth. As their services relate to our company, they have proved to be no-nonsense, practical corporate, securities and IP lawyers with an eye to the long-term goals of the organization at-large and a favorable exit, where desired, for ealy-stage founders and management teams. Please find this as my unequivocal and positive recomendation of Douglas O'Keefe and all those at CRGO.
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09 Sep, 2010 by Paulo
Adam helped me with a dispute with a neighbor in a condo I had just purchased. He always had great advice and remained calm and collected. His knowlege and research into condo laws and regulations was very thorough. He was very proactive in getting the issue resolved and always had my best interest in mind.
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04 Nov, 2009 by Peter
I was thoroughly impressed with Adam's complete dedication to my case. He was always accessible whether by phone, email, or cell. He continuously demonstrated his diligence, perseverance, and patience. I had a terrific experience working with Adam and would not hesitate in recommending him to anyone.
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20 Dec, 2023 by Catherine hammond
Having worked with several attorneys at Ireland Stapleton on different matters I have been incredibly impressed with the professionalism, attentiveness, and communication of the entire ISPP team. Specifically, Michelle Ferguson and K.C. Groves have been amazing and incredibly kind through matters that could otherwise have felt challenging. Special thanks to Barbara Laff for the connection and guidance as well.
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17 Jun, 2022 by Rick kirwin
15 Feb, 2022 by Suzanne raina
I've been referring cases to Merino Yebri since 2016, to both Alex and Sam. They are prompt at communication, thorough in their analyses, and fight hard for their clients. My clients, friends, and contacts whom I've referred have been happy with their representation, and they honorably pay referral fees. Highly recommend.
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13 Nov, 2014 by R g
Best legal experience I've ever had. Sam is hard working and truly cares.
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02 Oct, 2023 by Jeff
Roland was excellent in assisting us with drafting some business transfer documents. His knowledge of the law is extensive. He is efficient and concise with his words. We found him to be a compassionate, kind man that we knew we could trust. In other words, he is not anything like your typical attorney.
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13 Sep, 2016 by Bryan
Roland has helped us a ton with compliance and legal work for our new crowdfunding startup. Roland is a great resource for any legal work, but he is one of the few people in the industry that understands the new crowdfunding rules and has the resources to help get clients funded.
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29 Sep, 2015 by Karen
I couldn't think of a better lawyer to handle any of my deals. He is extremely knowledgeable and professional. Very detail oriented. Gives you all the time you need and his fees are fair. And most importantly: He's got years of experience and has been involved in his own Real Estate transactions - so as a client, I feel like he handles my deals as his own. Which is a great feeling.
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28 Sep, 2015 by Louis
Mr. Dubin represented me in several real estate transactions. In each case, Mr. Dubin's legal knowledge, advice, and drafting were exemplary. Mr. Dubin was also highly professional and responsive not only to me as the client, but also to counsel for the other parties to the transactions. I sincerely recommend Mr. Dubin to others in need of competent real estate counsel.
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05 Apr, 2017 by Stephen
Leila is an extremely bright woman. Always professional and usually replies with a response within a day. Her work is top notch. I never faced any mistakes or needed to backtrack when working with Leila on lengthy legal material. This was very helpful of course. Sometimes working with lawyers can be a drag. Not with Leila! A very upbeat and enjoyable person to complete goals with. I wish her and her future clients the best of luck.
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28 Feb, 2017 by Scott
I worked with Leila as outside counsel to the company she worked in as corporate counsel. She was excellent to work with, very knowledgeable and detail oriented. I enjoyed working with Leila. She is an excellent, capable attorney
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19 Oct, 2011 by Albert
Has worked with us on several projects, some as straightforward as the forming of our LLC, structuring of our partnership, and many other complex and sensitive financial matters.
After working with several other esquires on an a la carte basis, happy to now have Pierre on board as our go-to attorney. Communication is always lightning quick, detailed, and answers all questions thoroughly - and is very fair with billing his time. Happy to continue working with him.
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25 Aug, 2011 by Wendy
I was the defendant in a frivolous lawsuit and Pierre Basmaji represented me. It was a difficult case as the plaintiff and their attorney dragged their heels through the entire process, wouldn't communicate, etc. I had never been sued and this was a big lawsuit filed in federal court involving intellectual property. I was an emotional wreck, frightened and nervous. Pierre not only knew the laws involving my case inside and out, but he calmed me down many a time during the process. Since then I have hired him to draft an operating agreement for my business as well as an employee contract. I can't recommend him high enough.
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17 Feb, 2013 by Paul
Excellent lawyer, excellent firm!
More than met our expectations on highly complex tax-exempt dormitory finance transaction.
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08 Nov, 2011 by Bruce
Guided us through a complex $12.5 million water project. The Weist Law Firm is HIGHLY sophisticated, and public agencies will be hearing more about this firm--if they haven'y already.
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08 Jun, 2016 by Vincent
Rich reviewed a prospectus for my company, DragonEye Vodka, LLC. He was prompt, diligent, thorough, and insightful. The advice he provided helped in the structure and follow of the prospectus. I am very satisfied with Rich's work and my company intends to rely on him again.
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26 Feb, 2016 by Michael benzaken
My companies have relied on the dedicated guidance and expertise of Richard Page as lead attorney on all international tax and legal matters. He is sharp, responsive, and he is diligent. Most importantly, he is someone who really cares and goes out of his way to look out for our best interests. Our success today would not have been possible to achieve at this point without Richard's guidance. Both myself, my family, and my companies are indebted to him.
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29 Sep, 2008 by Anonymous
Lawyers often are the subject of comedic ridicule -- and from the many I have worked with personally that distinction is well-deserved. So when at attorney actually distinguishes themself from the stereotype for favorable reasons it is worth noting. Stephen is one such attorney. Smart, insightful, thorough and approachable -- Stephen immediately puts a client at ease as a strategic partner -- very client service oriented -- and not as someone who models their behavior after some television or novel character. Stephen has handled routine as well as complex real estate transactions with equal ease and confidence. I have strongly recommended Stephen to friends and colleagues and will continue to do so without hesitation.
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24 Sep, 2008 by Anonymous
Stephen is an extremely knowledgeable well spoken and intuitive attorney. He thinks outside the box and has an innate ability to see things from all angles. I have him consult on issues that are not in his specialty (with other attorneys) because of his intelligence and down to earth approach to the legal system. One other thing, he's honest. How many attorneys can you say that about?
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FAQs
Questions? We have answers
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.
