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29 Aug, 2024 by T chelvan
Attorney Mr. Sherman defended my HOA complaint Orlando court case very diligently and carried it through mediation and finally made it dismissed. Excellent Attorney and the Law Firm. He charged me fixed fee that I could afford based on calendar year representation. I recommend highly Mr. Sherman for defending any real estate/HOA related legal issues in Florida. Thank you very much for all your help Mr. Sherman.
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23 Aug, 2024 by Mila shpyrko
I had a great experience working with Sherman Law Firm. Their professionalism and expertise were evident from day one. The team was always responsive, explained everything clearly, and made me feel like a priority. Thanks to their dedication, my case was resolved successfully. I highly recommend Sherman Law Firm for anyone in need of reliable legal assistance!
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23 Aug, 2024 by M b
I had an excellent experience working with Bryan J. Sherman . he was knowledgeable, professional, and always responsive to my questions. Bryan J. Sherman, made a complicated legal process much easier to understand and navigate. I highly recommend their services to anyone in need of legal assistance.
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15 Aug, 2024 by Luis suarez
Mi abogado y todo el equipo que manejó mi caso en el bufete de abogados de Smith & Eulo fueron más que excepcionales. La abogada que me asignaron y sus asistentes legales fueron muy profesionales, conocedores e informativos durante todo este proceso. Estoy muy agradecido de tener a este equipo de mi lado! Definitivamente recomendaré el bufete de abogados a todos mis amigos y familiares
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15 Aug, 2024 by Gabriela lopez
Me remitieron al bufete de Smith & Eulo y, vaya, qué alegría. Todo el despacho, desde la secretaria en adelante, fue increíble. Felicitaciones a mi maravilloso abogado, quien organizó todo y lo hizo fácil. Siempre me llamaba con actualizaciones. Este proceso, que pensé que iba a ser una pesadilla, resultó todo lo contrario, gracias por todo. Desearía poder darles a todos 10 estrellas y más. Ha sido un placer trabajar con todos ustedes
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09 Aug, 2024 by Maria salome rodríguez fajardo
Son geniales estos abogados de la firma Smith & Eulo, me acompañaron en todo mi proceso legal, formamos un equipo con mi defensa, nunca me dejaron sola, y me mantuvieron muy informada, eso se valora, gracias a esa defensa, hoy tengo una oportunidad de reiniciar mi vida, Si pudiera dar más estrellas lo haría pero si recomendarlos al 100%.
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07 Aug, 2024 by Donette
This guy is great! Finally getting my act together to plan for the future. He is smart, practical, knowledgable and so easy to work with! I feel comfortable with everything he’s done, no pressure. His fees are reasonable. Could not recommend him more. He has an office in both Winter Park and Cape Coral. Give him a call, you won’t be sorry!
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04 Aug, 2024 by Joanne
Bryan was extremely knowledgeable and professional throughout the preparation of my LAST WILL /POA papers. He was very helpful and accommodating. He also has an outstanding sense of humor which made the entire process quite comforting. His fee was very fair and I would recommend him for any services that he offers, which are many. 5 stars is not enough…..I would give him 10 if I could!!!
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28 Jun, 2024 by Allison
After putting this off the process of estate planning, I finally got motivated and met with Bryan and Lorraine. Bryan is very knowledgeable and walked me through the process with good examples and guidance. Lorraine and he made the process painless. The prices are very reasonable. I am happy I chose to work with this wonderful team. I have great peace of mind now that my affairs are in order.
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09 Oct, 2014 by William
I own and run a number of reasonably high-profiled companies. I came to Brett with a number of legal issues involving former business partners and competitors. I was in up to my neck. My previous lawyer had failed miserably to get the cases going and I was left in a spot where several million dollars, and my companies' existence, were on the line.
I saw Brett's online profile. He took care of me. He also reversed the tide against me, giving me victories despite what he first started with. He knows his stuff and is able to find issues where my other lawyer was left floundering. Also, he saved me money. Over the course of 18 months of representation, Brett charged me less than my former lawyer charged me in half that time.
Brett is instinctive and honorable. I would not hesitate to hire him again.
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08 Oct, 2014 by Anonymous
I have been represented by Derek Brett a number of times over the years ranging from serious matters to lesser matters. His services were professional, timely and fairly priced. I recommend Derek to anyone wanting honest and effective counsel.
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08 Oct, 2014 by Sharon
Derek Brett was there for me. I was going through a horrible struggle on an employment law issue. I was looking for someone to vindicate me and to make certain that my bosses be made to pay for their illegal actions against me. Derek handled the case, charging me a fair fee (and earning every dime and then some). He kept me informed, he made me believe that he really cared, and he fought so hard for me. In the end, we won. I believe that Derek is what lawyers are supposed to be about. He puts a good face on a profession with a mixed reputation. I encourage those out there to strongly consider his hiring.
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12 Oct, 2021 by Paul
Recently, I retained the services of Menzer & Hill, PA for a case verses a large financial services company. Michael Hill believed I had justification and agreed to represent me. He requested an arbitration hearing through FINRA and it was granted.
The arbitration was conducted via zoom with counsel from both sides and a single arbitrator.
Mr. Hill went above and beyond researching, preparing and presenting my case. He kept in constant communication with me throughout the entire case. His attention to detail during the three-day arbitration was impressive.
As a small investor, I did not think I had a chance against a large financial services corporation, but Mr. Hill won this case with facts and his expertise of the law. A satisfactory and sizable judgment was granted by the arbitrator.
Without hesitation, I highly recommend Michael Hill of the securities law firm, Menzer & Hill, PA.
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10 Oct, 2016 by Rich
my name is rich james. i was duped by a financial firm in boca raton in 2011 with promises that the money i had could be conservatively invested to match or exceed where i had previously kept the savings. this money manager knew i was physically disabled unable to generate any more income. the investments lost money month after month, i was flabbergasted looking at my monthly statements, my complaints were always answered in the same disingenuous way with promises that never materialized. it sickened me when i realized i was duped. i felt shame that i should have known better and taken action sooner. fast forward to 2013 when i felt i was ready to roll up my sleeves and sue this firm to recoup my losses. the florida bar referral service referred me to an attorney in west palm beach who claimed to have expertise in this area, well he didn't and was billing me over a prolonged period of time, by the hour, for abysmal results. now i had to extracate myself from this new nightmare: i called back the florida bar referral service with valid complaints about this referral's performance, they then referred me to michael hill. i had a free consultation with mr hill which comes with the fee paid to the florida bar referral service: mr hill listened to every word of my story then proceeded to tell me about his expertise in this financial area and how we could resolve it. this is exactly what happened: for a very affordable lat fee, mr hill saw to it that i recouped the full amount of the actual damages stated in my lawsuit. the additional bonus came when he related to me that i could contest the remaining balance i owed the previous attorney by supplying me with some ways to get info and help. this is exactly what i did on my own empowered by mr hill: i asked for a $3,000 reduction in the previous attorney's bill, he brought it to his management and they granted the full amount. they knew i was working with mr hill as he had requested records of what had been done thusfar on my case. this was resolved last year at this time. the reason i took so long to write this review was i knew i couldn't fully express how well mr hill helped me in an egregious situation. i will never be able to thank him enough. mr hill beyond your years of experience on both sides of financial arbitration cases, the humanity you brought to my case's circumstances will never be forgotten, your expertise and how you practice it is extraordinary in terms i can't fully express. i send you and yours the best thoughts and wishes always! :)
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30 Oct, 2015 by Anonymous
It is my pleasure to write this recommendation for Michael Hill and Gary Menzer, attorneys at Menzer Hill. Michael and Gary represented our family in a complex multi defendant securities arbitration case. The nature of the case required specific and sophisticated knowledge of the securities industry that is rare in most attorneys. The attorneys at Menzer Hill had the knowledge and experience necessary to achieve a successful outcome. In addition, they were able to identify and recommend an outstanding expert witness and a mediator that also had the industry knowledge necessary to understand and navigate the complexities of the case. If I ever need a securities arbitration firm in the future, I will hire Menzer Hill.
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30 Sep, 2019 by Alex
Mr Underwood let me know what would happen from the begining and it happened just like he said. He didnt over charge me. He saved my Florida mortgage licenses. I highly reccomend Mr Underwood.
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08 Jan, 2010 by Jason
Very informative and personable always udated me and made me feel comfortable with his knowledge of my issue's. Was reasonable and was willing to work with me in my situation.
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24 Nov, 2009 by Anonymous
Mike gave me the correct expectation and followed through as he said he would. He acted professionally and I was honored to have him represent me. I would highly recommend him to anyone that needed his services.
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31 Mar, 2020 by Shellu
Melanie goes above and beyond for her clients. She actually joined a firm I was already working with in regards to my case. She actually took over my case and was there for me every step of the way. Her response time to my emails and phone calls were amazing. I stayed stress about my case and she was there to help me and put me at ease. I hated to see her go but am excited to see her continued success. She is definitely on my speed dial if I need her for anything in a civil matter. Thank you!
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14 Nov, 2019 by Michael
Mrs. Trogolo was my public defender in a case where my son and I had a major incident. As i have read on here, she listened to me also, was compassionate and set me at ease, the best I could be in the situation. I am a registered nurse (at the time I was in a fix financially) and this could have ruined my career, but thanks to her it was saved. Mrs. Trogolo, I hope you read these, my case was February 5, 2017 and I have yet to forget who was there for me. I wish there was a way to repay you for what you did. if that is even possible. Thank you. MJK
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16 May, 2019 by Christine
Ms. Trogolo met with us quickly, and worked diligently to get my matter resolved in court on my behalf. She kept me apprised every step of the way, and her competence left me with no concerns regarding her ability to handle my case. I will definitely use her services in the future for any legal matters I have.
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22 May, 2016 by Anonymous
Randall's performance in handling our case was of the highest professional quality. His knowledge and experience were clearly evident, and very extensive. We are totally pleased with his treatment of all issues. He was always very cordial and polite. If asked, we would gladly recommend him for any securities and investment fraud matters.
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20 Jul, 2015 by Elaine
Randall was very professional in handling our investment issue. He was always available and if not would return calls or email promptly. We would use Randall and his firm again, but hope we never have to and would recommend to anyone looking for attorney to assist and financial issues.
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17 Jul, 2015 by Elaine
Randall Place was very professional and knowledgeable in pursuing our investment case. He was very easy to contact and if not available would respond promptly. We would use him and his firm again, but hope we never have to.
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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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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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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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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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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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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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10 Apr, 2022 by Steve
I worked a case with Nick recently. I found him to be very knowledgable, thorough and detail-oriented.
I do not often give accolades to opposing counsel but he was polite, timely and everything that an attorney should be. Over the years, I have dealt with very unprofessional opposing counsel and very professional opposing counsel. Nick does it right, and he does it well.
He did an excellent job representing his client and skillfully resolved the issue at hand quickly and with a minimum of expense to both parties. I can't hire him due to a conflict of interest, but you can.
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03 Jan, 2017 by Michelle
Jeff Moussignac is a skilled and effective Lawyer whom I have relied upon many times to handle my legal problems! Great strategic negotiator and litigator! I highly recommend him!
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30 Apr, 2017 by William
Jon was a life saver to me and my family. As a disabled Marine Corps Veteran, we were struggling. Jon took my case to trial and got an $810,000.00 jury verdict in just over a year. Jon answered every phone call, every email, and was a Lion, at trial. Thank you Jon!
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22 Jul, 2016 by Norton
Dale, and the Soto Law Group-Dale Evans were a pleasure to deal with. They told me exactly what to expect, and how to proceed in prevailing. What was very interesting was that they said to me, do you want to go soft? Or hit them hard? Advice was perfect. Thank you Dale. I look forward to dealing with you in the future.
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30 Oct, 2013 by Anonymous
Mr. Gibbs has handled insurance regulatory work for our Company that has included interfacing with the Department of Insurance regulators. The results were very favorable and were completed in a timely and efficient manner. I would highly recommend Mr. Gibbs for insurance regulatory work.
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03 Jun, 2010 by Ceo g g
Mr. Pearlman worked with us under extreme time constraints to insure that we closed a public merger on time. His fees were very reasonable, and other attorneys who were associated with the transaction were impressed with the professionalism of his work.
We completely endorse this attorney for both standards of work and responsiveness.
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11 Dec, 2014 by Jorge
Brian has been a pleasure to do business with, prepares documents in short time and has helped us set up our businesses in a very professional and efficient way.
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19 May, 2023 by John p. “jack” seiler
10 Apr, 2023 by Oscar syger
08 Feb, 2023 by Donald j hayden
06 Sep, 2024 by Paul
The service I received from Alexander and his legal team was outstanding. They truly get what it means to run a business and offer expert legal guidance every step of the way. I would highly recommend them for any business legal needs. I’m referring them to my network and some clients as we speak!
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05 Sep, 2024 by Jake
Working with Alexander has been a great experience. He truly understands the unique challenges of my business, and his legal expertise shines through. Him and his team of attorneys is highly skilled, and I would confidently recommend them to anyone seeking business legal support.
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05 Sep, 2024 by Robert
Been working with Alex and his team for years now. Attention to deal is top notch. And incredible strategist. The entire teams works with you side by side on every matter. Giving several alternatives on why yes or no on all scenarios. Top team!!
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13 Aug, 2024 by Gcopewitit
Needed some advice , Alex was very helpful and put my mind at ease . I will definitely be giving them a call anytime I need legal representation.
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18 Jul, 2024 by Cory bigham
Alex reached out to me at 6 PM on Wednesday night which shows he goes above and beyond and trying to help people. I had some technical questions. Alex was able to guide me in the right direction and give me amazing feedback. I would highly recommend this firm for any of your legal needs.
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14 Jul, 2024 by Evelin ovalles m
Working with Alex Barthet on my recent legal case has been the best decision I made. I couldn't be happier with the outcome. He was professional, knowledgeable, and attentive.
Alex guided me through every step of the process with clear explanations and expert advice. He was always available to answer my questions and made sure I understood all my options. His dedication and attention to detail were awe-inspiring.
My case was resolved successfully thanks to Alex's hard work and expertise. I highly recommend Alex to anyone in need of legal assistance. Thank you for an outstanding job!
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24 Aug, 2024 by Ailyn l
The were very efficient with the whole process and results in both cases came sooner than expected.
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08 Jul, 2024 by Pedro robles
This law firm is very professional and attentive to our questions. Thank you and your staff.
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03 Jul, 2024 by Julissa morales
The best lawyer.
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10 Oct, 2024 by Benjamin del campo
Super happy with the experiences I've had with this firm and it's employees. You have a client for life!
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27 Sep, 2024 by Joan ressman
Great law firm with great people!
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23 Sep, 2024 by Rubenn calixte
Best in town
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14 Mar, 2022 by Ron lavand
So far so good... 😊😊😚.. prompt administration.
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19 Nov, 2021 by Kris cris
It was an emergency situation and they went out of their way to help me. Great follow-up from start to finish.
Kristine
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11 Aug, 2021 by Ruben anthony
26 Jul, 2024 by Livi toca
I am extremely pleased with the Service and professionalism I received from Mr. Payer and his team.
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09 Jul, 2024 by Maria toca
I couldn’t be more happy with how my case was handled and settled. Thank you for all the dedication and professionalism.
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09 Jul, 2024 by Paydence living
Awesome and reliable service, received the attention i needed and everyone was super nice
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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.
