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04 Mar, 2021 by Richele
Andrew May is a consummate professional. He has provided me with excellent legal advice and service over the years. Andrew is also well versed in FINRA laws and will work hard to resolve your issues. Highly recommend!
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13 Apr, 2018 by Anonymous
I have been a client of Andrew May for over 10 years. He has helped my numerous times and has always done a great job! He is very knowledgeable on all the securities issues I have needed help with and has been someone I can count on. He will always do what ever he can to be sure YOU are well represented!!
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29 Aug, 2017 by Anonymous
When I found Andrew I had a mountain of regulatory trouble and despite 16 years in the industry, no knowledge or experience in how to deal with it. He calmed my mind and helped me make sensible decisions that were both ethical and protected me. I will continue to use him for all my business legal needs. Highly recommended.
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27 Jan, 2024 by Vlada josipovic
Thank you for taking my case and everything you have done.
God bless you
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07 Oct, 2023 by Jeff murphy
answered most all questions on web site. Just got one more could not locate.Gonna give a call and for advice. Great site and. In my bookmarks for sure
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07 Oct, 2023 by Emmanuel hernandez
Attorney Clyde was very helpful throughout my case and was able to get the charges dismissed. Thank you so much for taking great care of me and making this a lot more stress free.
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28 Nov, 2017 by Wayne
To Whom It May Concern:
In thinking about Tom Burke, the three words that come to mind are integrity, character and brilliance. I am in the Construction Industry and had been trying to receive payment from a customer for over 15 months. My lawyer at the time had yet to accomplish anything, so I finally made the decision to switch my representation. In under four months, Tom Burke was able to accomplish what no one else had been able to; he pushed the opposing council to avoid further delays, he kept the matter from going to court, he got us a very generous settlement, and he even went so far as to go to Kane County to pick up the check for us.
Without Tom, my company might never have received the money that it deserved. He was efficient, persistent and knowledgeable, and offered a level of service rarely seen anymore. I would wholeheartedly recommend Tom to anyone and hope that he realizes my level of gratitude towards him.
Sincerely,
Wayne J. Klein II
President
Klein Construction
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11 Oct, 2017 by John
Tom Burke represented us with success in a dispute with an investment counselor. More than anything else, he was responsive and reactive to our information, asked questions on a need to know basis and kept us informed with developments. He was candid with his assessment of our posture, creative in his prosecution of our claim and persistent in his settlement posture. I am a lawyer, and I enjoyed working with Tom and appreciated his regard for my suggestions. We were far more financially benefited by his representation (resulting in more than a $1M recovery) than with other attorneys we consulted with who estimated the value of our claim at less than 10% of the settlement Tom Burke achieved. He virtually rescued out retirement.
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24 Sep, 2017 by Paul
Tom Burke represented me in an arbitration, and I am ever grateful for that. He was a quick study in learning the details of the matter at hand and demonstrated his grasp of the issues in his representation. He was professional, level-headed, and worked exceptionally well with our expert witness. He was also quick on his feet and able to effectively respond to the points raised by the opposition. As a result, my case was taken seriously, and we achieved a satisfying outcome. I highly value his competence and give my highest recommendation.
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13 Apr, 2015 by Patrick
Martin provided advice and handled the paperwork and filings to create a LLC for my company. Very responsive and made sure I knew the next steps at the times when I needed to provide information to move the project forward. The process was handled more expediently than I expected and I was very happy with the result, timeframe, and cost.
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05 Apr, 2015 by Chris
Marty Ryan has gone above and beyond our expectations. His expertise in being able to gain knowledge of information that was not privy to us was exceptional. Marty was always on top of the situation involving our case and kept us apprised in a very timely fashion. Whenever we had legal questions, he was always able to answer in terms that were easy to understand. In closing, if you are looking for an attorney who is extremely knowledgeable of the law, an excellent communicator, and someone who will fight for you to the end, we highly recommend Marty Ryan.
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19 Mar, 2015 by William
Martin is a perfectionist with an extensive litigation background. His excellent analytical skills and perseverance separate him from the rest. He is someone I would highly recommend to anyone seeking litigation services.
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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
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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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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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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29 Jan, 2014 by Anonymous
Steven is an expert in the field of property trading. He is commercially minded, but grounded in a deep understanding of the regulatory context of the industry. He is first-rate and I would recommend him to anyone.
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02 Sep, 2010 by Henry
bueno mi caso era un caso de migrasion muy complicado en 1993 me contacte con la senora lisa Palumbo cuando todavia esta su oficina en la Blue Ashland y alli comenso un proseso largo y tedioso pero ella fue muy profesional y despues de casi un ano logramos algo casi imposible y aqui estoy dandoles las gracias
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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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02 Aug, 2007 by Anonymous
No one works or fights harder for you than Ellen. Very knowledgeable and value additive to every transaction she has worked on.
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11 Feb, 2010 by Anonymous
I have worked with Aaron on multiple matters for my company involving everything from standard bankruptcy analysis to complex eight figure disputes. Aaron and his team are responsive, diligent and most importantly, they come to the table with a "big picture" focused approach. Aaron will continue to be my bankruptcy counsel of choice and I would recommend him with absolutely no reservations.
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03 Aug, 2009 by Anonymous
I cannot put into words what Justin McShane has done for us. My brother was pulled over and drugs and a stolen weapon were found in his car. At that point we were preparing for the worst. I called a couple lawyers in the area and the first one to call me back (within 20 minutes) was Justin McShane.
If you ask me Justin is a miracle worker. He proved that the police violated my brother’s rights by wrongfully stopping him. The prosecutor had been pushing for 2 years in prison but my brother was saved.
Thanks Justin. You will definitely get referrals from us.
Dwight
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26 Jul, 2017 by Anonymous
Best lawyer ever plain and simple. The fact that he hasn't been approached to be the Attorney General of our country is ludicrous. Hire this man he is as good as it gets.
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25 Jun, 2015 by Anonymous
Mike has the legal knowledge and gives the expert advice you need when facing a lawsuit. He uses influence and expertise where needed and knows how to handle almost every situation, good or bad. He also puts his heart in each case that he involves himself in.
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06 Dec, 2012 by Lisa
she has been refereed by our best friend when we needed legal counsel, our case turned out amazingly successful, her knowledge of the law is quite unusual than other attorney we ever hired .
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26 Jun, 2024 by Brad
I had a great experience working with Eric, Kristie, and the rest of the TorHoerman team. They made an otherwise stressful situation much easier to deal with. It was a huge relief not worrying about the insurance companies and money so I could focus on my recovery and auto repair.
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24 Jun, 2024 by Alica nolley
24 Jun, 2024 by Vincent williams
Today I was assisted by Nikki and she presented such pleasantly professional concern to ensure my concerns were satisfied. Such special personalities as Nikki showed is something I wish all businesses focused on with employment. Having staff with desired focus to do what's best not only show great human nature in the employees but most importantly, employees like Nikki magnify the success of any business worked with. So appreciatingly I thank you so kindly for not only being a great firm but for ensuring you staffed you entity with the best people.
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28 Aug, 2024 by Carlos alvarez
05 Aug, 2024 by Ion preguza
28 Jun, 2021 by Rye infanzon
28 Aug, 2024 by Carlos alvarez
05 Aug, 2024 by Ion preguza
28 Jun, 2021 by Rye infanzon
28 Aug, 2024 by Carlos alvarez
05 Aug, 2024 by Ion preguza
28 Jun, 2021 by Rye infanzon
28 Aug, 2024 by Carlos alvarez
05 Aug, 2024 by Ion preguza
28 Jun, 2021 by Rye infanzon
28 Aug, 2024 by Carlos alvarez
05 Aug, 2024 by Ion preguza
28 Jun, 2021 by Rye infanzon
28 Aug, 2024 by Carlos alvarez
05 Aug, 2024 by Ion preguza
28 Jun, 2021 by Rye infanzon
11 Jan, 2023 by Sonia lopez
15 Sep, 2022 by Bonnie dresmal
Highly recommend Mr Newman! He truly cares about his clients.
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17 Mar, 2024 by George matyas
Great food and drinks and wonderful wait staff.
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10 May, 2022 by Mindaugas razumas
17 Mar, 2024 by George matyas
Great food and drinks and wonderful wait staff.
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20 Jul, 2021 by Jennifer chen
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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.
