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15 Dec, 2014 by Anonymous
I've worked several firms and various business attorneys in the city and no one can touch the level of expertise, efficiency, professionalism, and overall value that Paul Swegle brings to our organization.
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07 Sep, 2009 by Jeff
Paul served as in-house General Counsel while I was CEO of ShareBuilder up until its sale in 2007. He continues to serve as its GC today. He has an excellent grasp of legal principles across a broad range of areas, with particularly high level of knowledge in securities law, corporate finance, patent and trademark law and brokerage compliance. Paul is careful, thorough and has extremely good judgment and as his client, i found it a pleasure to work with him.
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20 Oct, 2017 by Anonymous
Brian represented us as Receiver in a very contentious litigation where we were appointed to oversee a business undergoing a dispute between family members. He was able to effectively manage the relationship with both Plaintiffs and Defendants while allowing the Receiver to operate the business until a resolution would be reached. His advice was invaluable during a very difficult process.
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17 Oct, 2017 by Rob
Brian worked tirelessly to obtain title on an automobile purchased out-of-state from an entity that went bankrupt shortly after the transaction. Brian located the entity that assumed control of the bankrupt entity's assets, negotiated transfer of the title, and ensured the title was timely delivered. Throughout the entire process, Brian kept me informed of developments. I could not be happier with the results or the entire process.
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09 Oct, 2015 by Mike b - gents co-op
I've worked in the legal profession for 10 years, and Dan is the first attorney i've worked with that truly cares about our business. He strives to provide us with more tons of value, and he's done just that. Dan has navigated my business partner and I through some very hairy predicaments with huge success. Thanks Dan, not sure where we'd be without you!
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09 Oct, 2015 by Angela
We recently hired Regan Law at the beginning of 2015. Since adding this law firm to our corporation, we could not have been more pleased. Mr. Regan is the epitome of prudence and professionalism. We look forward to a long standing working relationship.
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26 Mar, 2010 by Anonymous
Irwin prepares agreements, contracts and gives excellent information as well as his opinion and he is one of a kind when it comes to perfection. I have known Irwin for many years. He may seem like a man of few words at times - but I have grown to appreciate him and his honesty as well as he is not one to beat around the bush because he says the truth and is very clear with any answers to my questions. I would recommend Irwin as the one of the best in his field. He always delivers excellence and always in a timely manner. He takes pride in his work and as a client, I know it is first class.
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21 Jun, 2009 by Anonymous
Irwin Barg is a very detailed and knowledgeable corporate attorney. His contracts and agreements are very clear, to the point and usually perfect. He is a straight forward attorney that knows what he is doing. I would highly recommend him.
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07 Oct, 2010 by Anonymous
Fantastic attorney who understood my business better than I did.
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02 Dec, 2008 by Anonymous
Daniel provided excellent legal services throughout our entire complex transaction.
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04 Nov, 2009 by Anonymous
Didn't tell me what I wanted to hear but was very objective which may have kept me out of trouble.
Thank you
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30 Jun, 2009 by Anonymous
To Whom It May Concern:
Richard Keck is a business lawyer like no other I’ve dealt with in my 25 years of experience. He’s knowledgeable in real world business bringing a critical legal mind to every situation. He’s effective; I measure lawyers by how they facilitate my business, Richard makes deals happen, thoroughly, yet quickly, while maximizing my position. I’ve recommended him to fortune 50 executives and friends on numerous occasions and will continue to do so without reservation.
David Rollo
Partner
Woven Measure
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13 Aug, 2015 by Nicholas
I had a wonderful experience working with Neil on several complicated and involved matters. In addition to being consistently professional and responsive, Neil is an excellent attorney: deeply knowledgeable, thoughtful, methodical and efficient. He takes a true interest in attaining the best possible outcome for his clients and provides expert judgment and guidance along the way.
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23 Aug, 2012 by Anonymous
Neil is an expert and a gentleman. Working with Neil was a pleasure and he handled my matter with expertise, professionalism, an attention to detail and a real zeal for his clients' interests. I would reccomend Neil without any hesitation.
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18 Feb, 2021 by Bruce
As a real estate investor, I've had to deal with several lawsuits, foreclosures, etc. over the years. I feel most confident with Brad in my corner. He's knowledgeable, thorough and definitely doesn't make "seat of the pants" decisions.
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23 Jan, 2020 by Anonymous
Brad Copeland came very highly recommended by everyone I asked. He represented my company who was a creditor in a bankruptcy proceeding where we felt the result was going to be a coin toss. Mr. Copeland however had different ideas and when you have a hearing or trial its always nice to have your attorney be the smartest one in the room. He's very competitive and takes the idea of losing very personally. He wiped the floor with the debtors attorney and because he knows the law is the guy to get you the good result you are wanting.
He's a smart guy and handles complex bankruptcies but only works on the side of the creditors. If you hire an attorney because you want to win then look no further.
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30 Mar, 2021 by Aasiyah merchant
Mr. Jim and his law firm were a tremendous help to my father. Mr. Jim was very professional and courteous. He took the time to explain every step of the case to my father in a very detailed and thorough manner. He was very positive and confident of the outcome of the case and worked very hard to make sure the outcome was in our favor. I feel very fortunate to have had Mr. Joseph represent my father on his case and we will continue to retain him and his firm for any all legal matters that may arise in our family. If you retain Mr. Jim and The Joseph Law Firm for any of your legal needs you can be rest assured that you are in good and trustworthy hands.
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22 Dec, 2020 by Kal d
I would recommend The Joseph Law firm PLLC to anyone who was in my situation. I contacted the office a few weeks ago regarding my case. From the time I spoke to Mr. Jim, I felt like my issues genuinely mattered to them. They are very professional, compassionate and Mr. Jim immediately made my case a priority. My case was settled in just few weeks and received my compensation in quick and efficient manner. I am proud to be a The Joseph Law firm PLLC client and will continue to retain them for all legal matters that may arise as I know I am in the best hands.
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06 Mar, 2024 by John murren
Highly recommend Chris's services to anyone going through the emigration process. Chris's timely, professional and also caring attitude really made this a pleasant experience.
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13 Feb, 2024 by Anthony calderone
I am writing to express my sincere gratitude for the exceptional legal representation provided by Togut, Segal & Segal LLP during our recent custody case with Celsius Network.
Bryan M. Kotliar and Kyle Ortiz, the lawyers overseeing our case, demonstrated utmost professionalism and dedication. Their strategic approach and effective communication, including numerous Zoom meetings and timely update emails, greatly contributed to the successful resolution of our case. I especially appreciate their willingness to address unique issues by accepting individual phone consultations.
The court's decision in favor of our case and the subsequent award of our custody assets have brought considerable relief. Despite the financial challenges associated with the bankruptcy process, the support and expertise provided by Togut, Segal & Segal LLP significantly eased the burden.
I couldn't be happier with the level of service and communication throughout this challenging period. Please extend my gratitude to Bryan M. Kotliar and Kyle Ortiz for their outstanding efforts.
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11 Dec, 2023 by Gary spund
Chris was excellent to work with to acquire US citizenship for my wife. He knew the laws and the process cold and assisted us in every step along the way through her receiving her citizenship last week. I can't recommend him enough! Thank You Chris for all your hard work and diligence on our behalf!
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15 Nov, 2024 by Ramduck415
I was involved in a rear end collision. As I sat a a red light, a vehicle struck me from behind, injuring my neck and back.I contacted Joe Naz Accident Lawyers and they took control of all of the medical needs that I required. The team at at Joe Naz Accident Lawyers was very professional and caring to make sure I received the medical care needed.The team kept me up to date with the progress of the case, and also checked up on me to make sure everything was going smooth, as far as medical treatment. I am very happy with the service that I received, and would recommend Joe Naz Accident Lawyers to anyone that has been involved in any type of auto accident.
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05 Oct, 2024 by Fidel jimenez
Hola buenas tardes !! Me complace agradecerles por la asistencia que me dieron al asesorarme con el problema del accidente, muy agradecido con el Sr Derri y con todos los de la firma de abogados, de antemano los recomendaría por la buena experiencia y amabilidad que tuve con el Sr Derri, gracias por toda su colaboración, muy agradecido con todos
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01 Oct, 2024 by Ruby rosensteel
I am so grateful to Joe Naz and his firm of knowlegable attorneys, they were all so unwavering in their support throughout my case. They all showed exceptional commitment, dedication and empathy during a very difficult time both emotionally and physically. Siri, Spencer and Ruby were my rocks! these women Made me feel so comfortable and they were so approachable no question was dismissed but answered. Antonio (the closer) demonstrated great creativity in his approach to my case and had very innovative solutions that benefited me greatly. Joe I can't thank you enough for your unwavering support, I always say it takes a village! I am just grateful I can call yours part of mine. Ruby
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03 Jan, 2025 by Michael clacher
Wheat Legal offers a service I can only commend.
Timely responses, detailed explanations and overall just a pleasure to deal with. I'm grateful to have found this entity.
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29 Nov, 2024 by Gary dewitt
Jeff at Wheat Legal helped me during a tough time with my business. He provided me insights and advice that helped me immensely. He is thorough and professional, and I cannot recommend his services enough.
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05 Sep, 2024 by Kelsie alford
Have loved working with Jeffrey! He’s the best when it comes to business disputes and contracts! Never a doubt that he’ll do what’s right for us!
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10 Dec, 2024 by Maggi n
I met with Foster Law Offices in April 2024 when I finally decided my debt was too big and no amount of second or third jobs was helping. I was immediately put at ease. Over the next few months the paralegals were quick to respond to any questions and the entire process wasn't as stressful as I expected it to be. I wish I had done this sooner. I was finally discharged in December 2024 and can now have a fresh start with my finances. I only spoke with my lawyer during my consultation then I saw him again during my 341 meeting. Other than that, it was the paralegals who I dealt with but they were all great. All in all a good experience!
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21 Sep, 2023 by Nellie lutz
All I can say is WOW ! What great guy! I was trying to help a friend by looking for a bankruptcy attorney for her. I call their office and got to talk to him, he sure knows what is talking about! Nice easy to talk to and really down to earth! So if you are ever in need of attorney he is your man!! Thanks again Dan for helping my friend!
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21 Jun, 2023 by Angie
Highly recommend!! They were so helpful through the entire process and explained everything thoroughly. Always responded to my emails quickly! Couldn’t have asked for a better experience!
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12 Jan, 2025 by Carol foster
On February 25, 2024, I was in an auto accident on the freeway.
Although the Highway Patrol Officer deemed me not at fault, my Insurance Company, GEICO, deemed me to be at fault.
I contacted Marjorie Heinrich's Law Firm, and was shocked that Marjorie Heinrich took the time out of her busy day to contact me herself via emails and personal calls; and did not charge me a dime for her service and time.
Marjorie was "God Sent!" She was very nice, professional, polite, patient, honest, and very empathetic to what I had gone through.
Marjorie encouraged me to pursue finding an attorney suitable for my type of case.
I eventually found an attorney to take my case.
If it were not for Marjorie taking time to counsel and encourage me, I would have given up!
I highly recommend the Marjorie Heinrich Law Firm!
Thank you, Marjorie, for helping me!
~Carol Foster~
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04 Oct, 2024 by James berger
Marjorie and her team helped me with a personal case in which I was at a loss. I didn't know where to begin or what to do. After a short phone call Marjorie made me feel much better. She explained everything to me in terms in which I could understand. She was always available when I needed questions answered and her team is amazing. She set proper expectations and made sure I was taken care of from beginning to end. I can't thank her enough.
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05 Jun, 2024 by Charlie luke velasquez
I am thoroughly impressed with the exceptional service provided by Attorney Marjorie Heinrich and her team. From the outset, Marjorie demonstrated an impressive understanding of the intricacies of dealing with insurance companies. Her ability to quickly adapt and pivot to new strategies was pivotal in the resolution of my case, which was settled much faster than I anticipated. The outcome was not only successful but also substantial. Throughout the process, Marjorie and her team were consistently responsive, keeping me well-informed and at ease about the progress of my case. I highly recommend Marjorie Heinrich for anyone seeking a skilled and effective attorney who delivers remarkable results swiftly.
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29 Jun, 2011 by Anonymous
After interviewing many lawyers, I found Ms.Olson to have my best interest at hand for the situation I was in. She is fair, honest and direct. She gets fair results and explains why things are the way they are in a calm and soothing demeanor. Ms.Olson returns phone calls (ect.) In a prompt & timely fashion, and has always answered ANY question I've had (big or small) day or night. I would recomend Ms.Olson to anyone in need of a reliable attorney that gets excelent results.
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17 Dec, 2019 by Anne d.
Mr. Gerszewski did the Estate Planning for our family, he is amazing to work with. He is so knowledge but at the same time so patient. He has the ability to look at an estate planning from different points of views. He developed a strategy that was unique to our family and we are very pleased. He is also a tax attorney so he was able to help us minimize our taxes with the correct estate planning strategy. We strongly recommend him to family and friends.
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12 Aug, 2009 by Anonymous
I have used Mark O'hara on several occasions. He has literally saved me thousands of dollars on business deals. After you meet Mark O'hara you think of him more as your friend than your attorney. He comes across more as a big brother or father figure. He is very laid back, and easy going but he can become a bulldog when he has to. I would highly recommend him to anyone.
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10 Aug, 2009 by Anonymous
We have been doing business with Gary Highland for over 12 years now and his service and professionalism is second to none.
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15 Oct, 2014 by Anonymous
Austa is one of the most thorough lawyers I have worked with. Her attention to detail, knowledge of the law and ability to explain complex documentation, processes, procedures and advice in layman's terms make her an excellent choice for an attorney. Her follow through is exceptional and I will without a doubt be coming to her for legal guidance in the future. I'm lucky to have worked with her early on in her career, she will always be my top choice. She's a great trustworthy find in the sea of lawyers...
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04 May, 2016 by Tim
I first became focused on finding ways for our district to re-invest in its amateur sports tournament facilities in 2011. For nearly two decades before, our district had earned a national reputation for being a leader in hosting amateur sports tournaments. While we invested in our facilities over those years, we did not do so at the same pace as other communities and the competitive environment was leading to a loss in our reputation. I was committed to retaining and regaining that reputation which is when I turned to Paul.
I first became familiar with Paul's work about ten years ago when he represented a local government in our district who sought our participation in a regional economic development project involving five other local governments. Because of this project’s success, I felt confident that Paul would be able to help. That was nearly five years ago (see our complete project timeline) and today, with the guidance of Paul and his team, I am completing our region's award winning process for the development of a $65M amateur sports tournament hosting campus. None of which would have been accomplished without the help of Paul and his team. The Project, known as Reclaiming First, has a simple but powerful message - the reputation of our park district for hosting amateur sports tournament events is a critically important economic development engine for our region, and is, therefore, worth of regional support and investment.
Developing this message and moving it from idea into action required consideration of political, financial, economic and legal issues. The experience of Paul and his team in helping build local government coalitions to achieve regional projects was an indispensable part of our success. Through countless meetings, board presentations, and state legislative sessions, my team and I working side by side with Paul and his team to identify each stakeholder's needs in the context of their particular financial and economic positions and to cobble together a strong unified political and financial coalition to bring this project home. The project has not only been an award winning model for success but, in large part because of Paul's approach, experience and technical understanding, it has created a new sense of community collaboration amongst the local governments in our district.
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08 Mar, 2012 by Anonymous
Mitch, is a great trustworthy attorney. He has conducted himself in the upmost profession when dealing in my cases. His accomplishments as a lawyer and his progression in the industry speaks for itself.
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26 Sep, 2010 by Anonymous
I have utlized both Robert H. Costello & his firm for many years on numerous relatively large real estate and complex business dealings. Their firm's attention to detail and interactive negotiating skills are, based on my experience with other attorneys, well above average......They have served me and my business verntures extremely well.
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13 Oct, 2011 by Anonymous
Stephen is very responsive, knowledgeable in handling sophisticated transactions with me. I have worked with him over 5 years and he is top notch at every level.
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27 Aug, 2020 by Anonymous
Mr. Randall was great! We wanted to make sure we brought in our investors the correct way and that our fund was set up right. Highly recommend.
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20 Aug, 2021 by Dennis
My wife and I have used Gary Strohauer and his firm for several years now to handle our real estate transactions, our wills and trusts. They are very professional and very thorough. I highly recommend them and their services.
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25 Apr, 2015 by Jay
My company and I have used Jim Philips as an attorney for many years. He is prompt, knowledgeable and effective in relation to the matters he handles. He has represented us in construction and commercial contract, employment, personal injury, immigration, corporate and other matters. He is an innovative and skilled negotiator. He is always prepared and, when appropriate, does not back down. His keen instincts contribute to delivering predictable and optimal results in every situation.
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30 Sep, 2016 by Mark
I was in a situation where I was being pushed out of a family business. I was President and CEO of this company for 20 years, and had taken it from a small company in trouble, to one that was eleven (11!) times bigger and healthier. When the new generation took it over, they purchased my stock. However, they quit paying on the agreed upon monthly sum after only 6 months of taking over--leaving 9 1/2 years owing. They then asked me to leave two years earlier than my employment contract stated in exchange for resumed payments on the stock. However, they had given me no reason to believe that they would actually pay me, due to my past experience.
Mark Carman came highly recommended to me by a friend that had used him with great success in issues with his companies. Mark helped me understand what we needed to accomplish and created a plan to make it happen. He created documents and agreements that were binding but reasonable for all and worked with the opposing attorney to move things along to a positive solution. His skills in negotiation and explaining what is fair and reasonable could not be disputed by the opposing side. When in a room with all involved parties, he had everyone there coming out of the meeting with an understanding of what needed to be done for all to get what they wanted. When a tough line needed to be drawn to get negotiations back on track, he was not afraid to successfully make that move. After all that was done, I was able to come away with peace of mind, knowing that we have an agreement and documents that will ensure my fair treatment going forward. What was even more impressive, it was done in a way that preserved a positive family relationship, which is not always easy in such situations with a family business. This experience with Mark Carman was above my expectations in every way and gave me the best result possible. I would recommend him to anyone needing legal help.
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15 Jul, 2010 by Anonymous
Jill is the type of attorney every client wants. She never promises to win she only promises to do her best for you. She prepared us well for the years of litigation we were involved in and prevailed. She is smart, professional, knowledgeable and persistant. You couldn't ask for a better attorney to represent you and you don't want her to represent the opposing side!
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30 May, 2012 by Anonymous
My company, a world-leader in the manufacturing and remanufacturing of automotive parts, has been a client of Mr. Williams for several years. We have utilized his expert legal skills for a vast majority of our legal needs and will continue to do so because he brings results. He gets a job done and does it well. His work is cost-effective and of the highest caliber. Without hesitation, I give him the highest recommendation possible.
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13 Aug, 2013 by Anonymous
Ray is an AMAZING lawyer! He is highly skilled and knowledgable but he is also very understanding and caring. I could always call or e-mail him with all my questions, and he always answered right away. He showed me great care and handled my case so professionally. I feel very blessed to know him. Really great lawyer and a great guy!
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Discover the ideal lawyer
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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:
-
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.
