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31 Aug, 2015 by Nigel
We were looking for insight into a new venture, and if we should do it as part of our corporation or set up a new company. Jan gave us more than the simple answer to the question. She helped us to understand the nature of the interactions between the companies involved, tax ramifications of structuring the deal, as well as the most effective and profitable strategy for how we classify associated cost of goods internally.
She helped us to understand issues within our accounting systems and how that information would help us to have a deeper and more genuine insight into each step of the process between sales, product fulfillment and billing.
The new venture is up and running (well) and we have a stronger insight into how our businesses are performing. We've also reduced our tax bill. If you're looking for someone who is simply going to tell you what you want to hear, this might not be your attorney. If you're looking for the right answer, and expertise that crosses many valuable business disciplines (like we were), then Jan is a perfect fit.
Highly recommend.
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30 Aug, 2015 by Tim
Jan and her team provided my wife and me with some very helpful tax and estate planning services and got us on track to obtaining the most advantageous tax position possible on our rental properties.
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22 Oct, 2021 by Sara
I contacted Joshua Fields's firm Kirtland & Packard regarding a potential class action law suit. He returned my call within the hour and discussed details with me for a full hour!! The consultation was not a part of his schedule for the day, but he even put effort into researching my issue before he called me! He took his time discussing with me, asking questions, and researching my issue. I felt like I was talking to a therapist. His communication style is validating & empowering. I contacted him earlier than when I anticipated I'd actually need him, so he continued to reach out to me on his own time to ask for updates for several months!! We subsequently had multiple lengthy conversations. He is thorough, always on time, and very organized despite how complex my issue was. Thankfully my issue was resolved, but he was so ready and supportive to fight for my rights. I highly recommend him, with no hesitation!!
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12 Jul, 2013 by Anonymous
Mr. Stier's industry knowledge, expertise of the law, client service and ability to render effective, practical guidance has earned my utmost respect. I would highly recommend his services to anyone seeking the highest quality, results-oriented legal advice.
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04 Oct, 2024 by Luis ontiveros
HKM and Cecilia are top tier! They are not afraid to take on the big firms and are very knowledgeable. Great experience overall.
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04 Oct, 2024 by Peter stone
I just had and absolutely fantastic experience with this law firm. We were able to settle out of court and my lawyer Cecilia was just amazing. Great experience
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04 Oct, 2024 by Michelle pandolfi
Cecilia Brennan went above and beyond my expectations!! I really enjoyed working with her because of how kind, professional and caring she is. I'm so grateful for all of her hard work and her help throughout this whole process. She's truly amazing and I would highly recommend her to anyone. Thank you again for everything Cecilia!!
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04 Oct, 2024 by Luis ontiveros
HKM and Cecilia are top tier! They are not afraid to take on the big firms and are very knowledgeable. Great experience overall.
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04 Oct, 2024 by Michelle pandolfi
Cecilia Brennan went above and beyond my expectations!! I really enjoyed working with her because of how kind, professional and caring she is. I'm so grateful for all of her hard work and her help throughout this whole process. She's truly amazing and I would highly recommend her to anyone. Thank you again for everything Cecilia!!
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26 Sep, 2024 by Rence g
I cannot speak highly enough of HKM. From the moment I called for an initial consultation, Cecilia Brennan was incredibly kind and understanding, making me feel comfortable and supported from the start. Cecilia and Gloria were nothing short of amazing throughout my entire case—sharp, experienced, and always had my best interests at heart. HKM is a perfect combination of professionalism and compassion. I would highly recommend to anyone in need of top-notch legal services!
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22 Jan, 2020 by Mark dietrich
The Zalkin team changed my life, and they feel like family to me. They expertly navigated the rough waters of a difficult and lengthy lawsuit -- all the way up through trial preparations -- and negotiated an out-of-court settlement to the satisfaction of both parties. They brilliantly researched and applied a little-known clause in the Servicemember Civil Relief Act to my case, which was unprecedented, significantly extending the statute of limitations and allowing my lawsuit to continue. Other military members then derived benefit from this clause in their cases, from what I understand.
Their team -- I primarily worked with Ryan, Devin, Lisa, and Irwin -- is spectacular. Their compassion, empathy, and professionalism substantially comforted me through arduous and punishing depositions and negotiations. I knew at each step in the process that Irwin and team had my back, had the plan, and had utmost confidence in their strategy. So did I.
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09 Dec, 2019 by Kate rallis
The Zalkin Law Firm is an incredible group of people who are not only skilled as attorneys but are passionate advocates for their clients as well. They take their time to educate their clients, and are patient with questions, needs, and the unavoidable emotion that comes up in the process of seeking justice. The entire team is invested. They make their clients feel less alone, and do everything they can to empower them. The firm's commitment to my case, and to me as a person, changed the trajectory of my healing and ultimately, my life. For the first time in my trauma story, I felt seen, heard, known, valued, and encouraged that action was being taken and that I was worth the fight. In the course of my relationship with the Zalkin Law Firm, I learned to stop asking for heroes and start asking for a sword. They handed it to me every time - with enthusiasm, passion, and support. Two years later, I consider this group of people as some of the most important helpers in my story and will forever be in gratitude for their role in my life. If you are seeking representation, you will be safe with the Zalkin Law Firm.
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31 Oct, 2019 by Elizabeth ewing
28 Jul, 2023 by Brett kestenbaum
I worked with this firm on a small project. I confirmed the project, and made sure to re-confirm the cost of a project and capture it in an email. When the bill came, it was essentially double. I spoke to them about it, and instead of taking responsibility for their error, they simply tried to negotiate with me over what I would pay, even though our arrangement was clearly laid out in an email.
For a firm that has very high bill rates, this is certainly not the way I would have hoped they would conduct business.
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18 Nov, 2021 by Kristin
I reached out earlier this week for a consultation to see if he would be able to help me with the situation I have going on. Didn’t even get a response. Clearly unreliable.
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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.
