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07 Jul, 2023 by Melissa b. vaden
When I called, Alex immediately responded to my vehicle inquiry and sorrows surrounding the repairs. After providing him with all the purchase documents and repair documents he was able to tell me that I definitely had a breach of warranty case against the manufacturer.
It took some time (dealing with a large motor company) but they eventually paid for my lack of use of the car (always in the shop) and also paid for the lawyer fees.
Alex was able to help me win my settlement. I would have had no idea where to start. If this happens to anyone around me I'd tell them to call Alex. Very helpful and professional!
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11 Feb, 2016 by Jennifer
My company has been seeking the counsel of Felix Shipkevich for years now. Felix has always provided excellent, quality service. He has specialized experience in the derivatives field and always seems to know the answer to any regulatory question we may have. Furthermore, Felix goes above and beyond simply reciting the regulations or offering options. He carefully considers the options and weighs in on what he believes is truly in the best interests of our company. Because we have come to trust his dependable advise, the company will consult with him frequently even if only to verify via a conversation. We trust his work and his advice completely. It is always a pleasure to deal with him. He is reasonable, approachable, and often comes up with intelligent and creative solutions. I would highly recommend his services to any company or any individual.
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05 Feb, 2016 by Dragana
We have been working with Felix Shipkevich for a number of years.
Since we began working work with his law firm, they have become more a part of our team rather than an outsourced firm.
Felix Shipkevich made himself available at any time, understanding completely our needs.
His advice was always straightforward and accurate with detailed implementation processes that made all the work so much easier.
I would recommend this firm to anyone who is seeking corporate legal advice, regulatory advice or guidance because they will guide you every step of the way making sure that the client always gets the outcome they desire.
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20 Dec, 2024 by Michael boyle
As a former member of the New Rochelle City Council I have worked with many attorneys. Stephen Donaldson is above and beyond the best!! He is grace and class under pressure which is so rare these days. Stephen helped with my recent sale of my home. He was outstanding and so helpful in the plethora of advice and information that can too often seem overwhelming to process. Stephen efficiently and calmly guides and supports you every step of the way. If you were to call central casting and ask for the perfect attorney to help you, Stephen would be it. If you want the best attorney in the Hudson Valley, call him right away
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30 Oct, 2024 by Silvia panza
Worst experience ever a lot of money was paid. had to look for another lawyer to finish and to correct the job that he was supposed to do. Have a lot of things to said but prefer just not to.
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14 Jul, 2022 by Jordan mills
Stephen Donaldson, exemplifies everything one could hope for when seeking legal help. Stephen has been a part of my life for 5+ Years and has been serving as co guardian of my brother. He’s a life saver, as mentioned in the reviews below he is Kind, understanding, and brilliant.
While his practice may have shifted to a different type of Law, there isn’t anyone else I’d call first for advice, guidance and legal help. I’d want him in my corner any day of the week.
The world could use more folks like Stephen.
Thanks for your time and help over the years it’s been a blessing.
Jordan M.
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13 Feb, 2025 by Allan simon
Mr Sawyer esq took his time answered all my questions and was very responsive to our concerns.
I highly recommend him
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07 Feb, 2025 by Amy siu
First I would to thank ed Friedman for getting back to me really quick even tho I email him at 3 in the morning. I would recommend this firm to anyone who needs an injury lawyer especially John p. He’s is on top of the case he closed the case within 1 year. I thought it would take like years. He’s alway kept me informed about what’s going on. and he’s very sufficient with his work and he’s very nice. The office employees is always nice and they always calls me to remind me of the appointments and they are very sweet. They all are super nice and they know they are doing and they really care about the people
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27 Jan, 2025 by Javaid hussain
Appreciate all the help and communication along the way. Have solified every aspect of being a great injury lawyer. Would love to crossroads once again, it it ever does come to that!
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28 Feb, 2025 by Joe amato
Brett and James were both great in helping me from start to finish. They were very efficient, updated me throughout the process, and helped resolved my issue. I am very satisfied and would highly recommend. Thank you both for your help.
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04 Feb, 2025 by Christy marth
Very nice gentleman asked repeatedly if I had questions very smooth process
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04 Feb, 2025 by Michelle hess
My experience with Shapiro Legal Group PLLC WAS GREAT. I must say the representative that called me was very nice and he made me feel comfortable with the whole process and explained in detail how everything went from here. There's no amount of money that could buy out the suffering with headache's and everything else that goes along with the tumor, but the people (same people who made some COVID injections) (Pfizer) let millions of women get the Depo- Provera shot for over a decade while neglecting to label the side affect that it could cause brain tumors. At least they could do is compensate/ Settle out of court with us women who did develop a brain tumor due to their negligence
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28 Feb, 2025 by Joe amato
Brett and James were both great in helping me from start to finish. They were very efficient, updated me throughout the process, and helped resolved my issue. I am very satisfied and would highly recommend. Thank you both for your help.
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04 Feb, 2025 by Christy marth
Very nice gentleman asked repeatedly if I had questions very smooth process
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04 Feb, 2025 by Michelle hess
My experience with Shapiro Legal Group PLLC WAS GREAT. I must say the representative that called me was very nice and he made me feel comfortable with the whole process and explained in detail how everything went from here. There's no amount of money that could buy out the suffering with headache's and everything else that goes along with the tumor, but the people (same people who made some COVID injections) (Pfizer) let millions of women get the Depo- Provera shot for over a decade while neglecting to label the side affect that it could cause brain tumors. At least they could do is compensate/ Settle out of court with us women who did develop a brain tumor due to their negligence
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25 Feb, 2025 by Jessica decosta
Oliver represented me over a span of a few years in 2 different matters. He is very honest and straight forward which I appreciated. The staff (Larissa) is extremely attentive and responsive, as Oliver is too. I felt like they actually cared about my family. They’re great! They make a very stressful time less agonizing with clear concise communication. Also they’re available when needed for any urgent issues.
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04 Feb, 2025 by Bartlomiej roman
Oliver is excellent Lawyer . He helped me in several cases when I was running my business and he always comes up with the best legal advice. He also assisted me with my business acquisitions and he has been asset to others as well. I would highly recommend him.
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03 Feb, 2025 by Marie campbell
Working with Mr. Brewster, Esq. and his team was a great pleasure. I am appreciative of the level of professionalism, customer service, speed, and attentiveness he displayed throughout the entire process. He is very knowledgable and trustworthy, someone you will not regret representing you! Mr. Brewster, Esq. thank you!!
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27 Nov, 2024 by Maaloum badine
My favorite lawyer👌👍🌹
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29 Aug, 2024 by Shinta shinta
They ask u make appointment and canceling I had 2time I think is not good idea
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24 Feb, 2024 by Pei-yu shyu
Just don't deal with Isabella. Granted, it was a free consultation, but that was the least helpful 15m call I've had anyone go through with any lawyer.
For a bit more detail, if a student has completed their F-1 OPT successfully, they have a 60 days grace period (not 2 weeks) to stay in the US, travel around, and perhaps change their status to a B-1 visitor. Isabella could not grasp this and was extremely unhelpful. Just effectively said, "Nope" and closed the door while providing us with inaccurate information-- information that is freely available on colleges' websites around the country.
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24 Dec, 2024 by Gail katz
I worked with Mark Davis with regard to my Will. I found him informative, patient and courteous. He had been recommended to me, and I am, strongly, passing on this recommendation.
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12 Sep, 2024 by Alexander ziehler
15 Jul, 2019 by Ausha
01 Oct, 2024 by Steve
Attorney Perrone brings an extremely high level of competence, intelligence, knowledge, and just overall compassion to every facet of his work. Absolutely a gem of a person and I HIGHLY recommend him should you need any sort of legal representation, assistance, or even just advice.
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06 Jun, 2024 by Yvette
Mathew Perrone resolved my case in just 2 court appearances. He was able to work out a great offer, due to his commendable character and professional demeanor. Ultimately, the charge was reduced to a simple violation, after I was unjustly threatened with probation for several months prior--under a "different" lawyer who was incompetent.
I would recommend Mathew Perrone to friends and family, without hesitation.
I am extremely grateful for his expertise and professionalism.
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16 May, 2024 by Ted
I spoke with Mathew Perrone, Esq. After consulting with several other attorneys about my pending DWI case in a Westchester county criminal court. I found Mr. Perrone very knowledgeable, and he also has an empathic side to him that the other attorneys I spoke to didn’t possess. Thankfully my gut was correct, and not only did he expose issues with the case, but I ended up walking away with a none criminal disposition and a new friend. I can’t thank you enough of all you did for me and my family.
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16 Aug, 2024 by David
I recently worked with Jenice to negotiate a business buyout, and I couldn't be more pleased with the experience. From the start, Jenice was incredibly helpful and deeply invested in achieving the best possible outcome for me. Her expertise and dedication were evident in every step of the process.
She was always prompt in her communications, ensuring that I was kept informed and that everything moved along efficiently. Additionally, her billing was extremely fair and honest, which I greatly appreciated.
Overall, I highly recommend Jenice to anyone in need of legal services. Her professionalism, commitment, and fairness make her an exceptional choice.
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27 Oct, 2021 by Ashley
I highly recommend this attorney, she is diligent, trustworthy and caring, as well as extremely experienced and intelligent.
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16 Aug, 2021 by Jesica
Jenice Malecki is an excellent attorney and extremely reliable. My family had a shocking, horrible, and extremely stressful experience that their money, all their savings were stolen all of a sudden. We had no idea what type of lawyer we needed, we had no experience in issues like this and we didn't know any lawyer. It was extremely shocking and complex involving at least 2 huge financial institutions globally known and brokers. After doing tons of research, I found Malecki Law to be one of the best in the Financial Industry. We decided to have a consultation with her to get to know more about her experience in issues like this. We are so thankful we decided to hire her. Jenice Malecki and her team (including Darryl J. Bouganim) are extremely hard-working and highly experienced. They helped us day and night trying to solve our problem. It was an extremely hard case. It would not have been solved if it weren't thanks to the fact that we had Jenice Malecki as our attorney. I realized how important it is to have a really good attorney (and I repeat, it HAS to be that good when the stakes are so high and the case is so complex and hard) on your side with experience in this particular field. I feel it's important that whoever is reading this and if a similar situation happened to you, that you know that Jenice Malecki is truly one of the best in the securities industry! My family is extremely thankful that we found her. I'd definitely recommend her and her office with no doubt at all! It's very easy to communicate with her and she keeps you updated throughout the case. She really cares about her clients. She is excellent at trial too when the stakes are so high and you have to prove your case. She is also very honest and transparent with everything, including expenses and fees. You won't get any surprises or hidden fees. Extremely professional, ethical, experienced, and knowledgeable in what she does! We ended up working with her for over 3 years!
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17 Dec, 2017 by Libby
Zvi Barkochba is managing my trust and has done an excellent job of choosing, maintaining and advising whenever required. He is extremely responsible and puts a good deal of concern and care toward my goal of maintaining wealth and income as I move through my senior years.
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30 Nov, 2015 by Greta
I met Zvi when he was giving a lecture to the University of Chicago Alumni Association. His lecture was friendly, funny and highly informative. He was happy to answer everyone's questions and provided useful information that we could actually use. I contacted him after the lecture to retain him, because I felt comfortable and confident in his ability and willingness to keep me informed. I am not at all upset with that decision.
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22 Sep, 2015 by Anonymous
I wanted to set up an estate plan, and Zvi was very helpful in the process. He explained what assets required a will, and which worked best in a trust. I was able to set up my affairs in a way that I can manage myself for now, and I know that once I am unable to care for myself, or go entirely, my family will understand my wishes. I think what made Zvi such a great attorney was that he took the time to understand what I wanted, and then explained to me how I could get there. I could tell that he cared, but was also being an absolute professional.
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03 Oct, 2023 by Chris
I recently hired Angelo to assist me with tightening up a few legal issues with my small business. Working with Angelo was an absolute pleasure from start to finish! I felt comfortable and confident throughout the process that I was in very competent and capable hands…thank you Angelo!
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05 Feb, 2019 by Darren
I never in the world would think a Lawyer would be there for you at every turn but that how Angelo was for Me !!! He is truly a great person and attorney!!! if you wanted to be treated like a family member Hire Angelo you wont be disappointed !!!! HE IS ACES !!!!!!!!!!!!!!!
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25 Apr, 2017 by Matt
I was referred to Angelo by a friend and could not be more happy. I needed an attorney at short notice to review a complicated lease and Angelo guided me thru the entire process while looking out for my best interests. I am so grateful for his guidance and recommendations.
His laid back style and friendly personality was a pleasure to work with. Highly recommend!
Matthew
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07 Mar, 2019 by Anonymous
Jephte is an adept and competent securities attorney. After contacting several attorneys in regards to fund formation, we decided to go with him. He gave insightful and actionable advice before we retained him and that ultimately influenced our decision. Jephte is one of the best investments that we have made in forming and protecting our business. We look forward to continuing our working relationship with Jephte.
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05 Feb, 2019 by Nathan
My confidence in Mr. Lanthia’s skills, and/or expertise is at an all time high. I have come to him with loads of questions and unsettling situations, of which he has done a phenomenal job handling and explaining .......Hands down! No matter where I am, I’ll always call Mr. Lanthia and he exceeds my expectations every time.
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28 Jan, 2019 by Anonymous
We initially hired Jephte three years ago to tie up some general corporate matters. Due to his proactive approach and excellent negotiating skills, we have continued to utilize his firm for ongoing corporate work. We find Jephte and his associates to be personable, well-informed and honest. Our company works on hard deadlines and Lanthia Legal often exceeds our expectations. Jephte and his firm are valuable to our business.
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02 Nov, 2017 by Omar
Allison helped me purchase my Coop stress free as she handled all of the paper work and thoroughly guided me through the whole process start to finish.
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29 Oct, 2017 by Sharon
At the recommendation of my real estate agent, I contacted Allison and, after speaking with her, I immediately hired her. I was in the process of buying my first coop apartment, and I was overwhelmed by everything it entailed. Allison was extremely knowledgeable about dealing with coops, and explained everything to me along the way so I would know what to expect. She was always available to take my call, or called me back after I left a message. Allison was very patient with me when my anxiety level got the better of me at times. Dealing with a coop purchase, as I came to learn, can be a very tedious, time consuming and, at times, frustrating process. Allison spent a great deal of time going over all the coop records she needed to review as part of her responsibilities as my lawyer. She was aware of the fact that I was very eager to move out of my previous apartment, and advocated for things to move along as quickly as possible. I always felt that Allison was doing everything within her power to be an advocate for me. This was especially true when Allison coordinated with all the parties involved so the closing date could be scheduled as soon as possible. In all of my contacts with Allison, she was professional, courteous and patient. I found her lawyer fees were very reasonable, especially considering all of the services that she provided. I would recommend Allison without any hesitation.
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26 Oct, 2017 by Karen
Attorney Walsh is the attorney for Career Connections Associates, LLC, Our entire team speaks very highly of her. She's responsive to our needs, consistently provides superior legal guidance and advice and has broad-based legal experience (which is invaluable to every business owner). Thus far she's provided guidance with regard to contract negotiation, policy and procedure, sexual harassment issues, labor matters and business development/expansion guidance and advice. One of of the best business decisions we've made is to retain Ms. Walsh!
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15 Jul, 2020 by Brigitte
Leslie is always there when I need help and I am very thankful for her! Thank you!
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23 May, 2013 by Anna
I was fortunate enough to meet Leslie about 8 years ago....she has been my personal attorney ever since, I know many attorneys but rarely met one who is so dedicated to her clients. She goes the extra mile every time. no issue is too large or too small. She has navigated me successfully thru career changes, business purchases and sales. Has saved me thousands of dollars in bad decisions that were avoided because of her advice. I have referred her to many of my clients and they have been extremely pleased 100% of the time. great communication, great representation, an A+++++ all the way, every time.
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15 May, 2013 by Steven
Ms. Feifer made me feel like she cared about my situation even more than I did. She is incredibly skilled as an attorney, and I feel very confident recommending her to anyone.
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23 Dec, 2024 by Nick b
Annabelle is smart, experienced, thoughtful and creative. Her ingenious approach and thorough preparation allowed our family to achieve great results in a complex process in a very short time. 5 stars doesn't do her justice.
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10 Sep, 2024 by Jordana kozupsky bel
Professional, reliable, communicative, helpful, and honest. Wouldn't hesitate to recommend.
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08 Jul, 2024 by David lawrence
Annabelle has been exceptional counsel, both in her judgment and communication. Her work has been very meaningful to myself and my family and I would recommend her highly to others.
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28 Jan, 2014 by Christine
I have come to rely upon Joe Andolino for any tax-related issues and I've recommended him to friends and business associates. He has this natural ability of seeing what will and won't work , and has a great sense of how to accomplish even the most difficult task. What I appreciate most is his no-nonsense view but specific remedies to reach my goals. Joseph Andolino belongs in every business rolodex.
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04 May, 2013 by Delmar
Many business owners rely on third parties to take care of everything, which I did, and Mr. Andolino was very forthright and pointed out all the things I had done wrong or had not done over the years.
For example, his firm prepared paperwork for a Joint tenancy with rights of survivorship to protect my wife. Set up the paperwork to transfer property upon death without going through probate. His firm also completed the paperwork to reduce future estate taxes through exclusions. That was only the work for my personal estate; his firm also handed all the paperwork that needed to be filed for my business and partnership.
Sometimes it pays to get a second set of eyes to go over your financial documents and see what was missed and Joseph Andolino and Associates did an outstanding job.
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01 May, 2013 by Joan
Outstanding Tax Consultant! Worked through all the problems of my grandparents Estate and helped resolve the tax issues with their small business and the partners. Saved thousands of dollars in the end and then helped put together a feasible plan for my immediate family.
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15 Jul, 2015 by Jorge
I have dealt with Mr. Kogan in multiple occasions, in every case really quick responses and very clever and comprehensive solutions has been the result... nothing but praise..!
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11 May, 2015 by Roxanna
I have been working with Simon Kogan for over three years. He is one of the finest securities attorney I have had the pleasure to work with. He is professional and successful for all of his clients legal services needs. I highly recommend Simon for all publicly trading companies who need a great attorney.
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06 Aug, 2012 by Bo
July 31, 2012
Simon Kogan ESQ.
171 Wellington Court, Apt 1J
Staten Island, NY 10314
Dear Mr. Kogan
I would like to thank you for your efforts in having DTCC remove the deposit Chill off the Companies stock.
This Chill had a very negative effect on the investors, depositing shares and the shares tradability due to the DTCC Chill.
I have been told by others in the business that the removal of the Chill by DTCC is a very long and time consuming process, but thru your efforts, you accomplished it less than five months.
I thank you for your accomplishment and will highly recommend you to potential clients.
Sincerely
Bo [removed by Avvo staff]
[removed by Avvo staff]
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08 Jun, 2016 by Vincent
Rich reviewed a prospectus for my company, DragonEye Vodka, LLC. He was prompt, diligent, thorough, and insightful. The advice he provided helped in the structure and follow of the prospectus. I am very satisfied with Rich's work and my company intends to rely on him again.
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26 Feb, 2016 by Michael benzaken
My companies have relied on the dedicated guidance and expertise of Richard Page as lead attorney on all international tax and legal matters. He is sharp, responsive, and he is diligent. Most importantly, he is someone who really cares and goes out of his way to look out for our best interests. Our success today would not have been possible to achieve at this point without Richard's guidance. Both myself, my family, and my companies are indebted to him.
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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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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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26 May, 2015 by Anonymous
Samuel Neal McKnight is a smart, efficient lawyer. On both occasions that he has worked with my company he displayed an astonishing level of integrity, intellect, and commitment. His work has not only saved my company, but helped it flourish far beyond my expectations.
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25 Jun, 2011 by Anonymous
I hired this lawyer for represent me on a small case, but he was very fast, polite and efficient. Keep on the good job.
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10 Sep, 2015 by Anonymous
William provided careful and crucial attention to assist my business in a complicated contractual matter. Working to clarify the issue, providing reliable insight and guidance that lead to the quick and resolution and positive outcome of a tricky situation. I am grateful for his insight and attention and will continue to use his services going forward.
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12 Oct, 2010 by Anonymous
very professional, aggressive and looked out for my best interest. we were awarded the most because of his diligence and hard work. i would definitely recommend him to everyone i know. personal injury, family law, medical malpractice, real estate, etc....he does it all!
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30 Jan, 2008 by Anonymous
Mr. McCausland is professional beyond a shadow of a doubt. His knowledge of the law made all of our procedures routine without any anxiety. He always kept us informed even when we didn't have any questions.
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21 Apr, 2023 by Elizabeth
Julie represented our firm for years as counsel for our distressed trade closings, with integrity and diligence. She also brought a refreshing sense of humour to an otherwise dry subject matter. She has also covered various unrelated matters for the firm and for me personally, with the same enthusiasm and attention to detail
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23 Jul, 2009 by Anonymous
Very experienced and knowledgable attorney who brought plenty to the table as a result of being in-house counsel for Benderson Development. Handled transaction from property negotiation and purchase thru construction and leasing. A strong business and real estate 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:
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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.
