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03 Jun, 2024 by Anonymous
I hired Alan to represent me as a mortgage broker before the California Department of Real Estate. I couldn't be more pleased with Alan's services from start to finish. Alan was clear and concise. Alan's communication throughout the process was professional. I received the results I hoped for. Thank you Alan. I'll definitely recommend you to ALL and use your services again in the future shall I need anything!
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03 Aug, 2022 by Raul
Very helpful in assisting in obtaining an OCCC Texas Motor Vehicle Sales Finance License. Very knowledgeable in answering all questions the OCCC asked for on their questionnaire. Highly recommended and would re-hire for any future assistance regarding motor vehicle and finance business. God Bless!
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18 Nov, 2021 by Petroleum realty group inc.
I engaged Alan to help me through the complexities of obtaining my Lenders License.
He was very knowledgeable about the process and provided me with a high level of service.
I worked quickly getting him all the information needed and he worked at my pace.
He was responsive to e-mails and questions and follwed up with the DFPI to make sure everything was filed correctly.
I had read online that this process could take as long as 6 months however Alan completed the assignment in less than 3
I will be retaining his services in the future to ensure my company remains in compliance.
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08 Oct, 2022 by Ray burchette
09 Feb, 2016 by Jim
Mike Blankenship is one of the best all-around deal makers and attorneys on the market. Our company was incredibly lucky to work with Mike as his expertise and vast knowledge is broad, and focused when necessary.
Mike also is there to answer questions and is the kind of attorney who you need on your side to get the deal done.
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22 Aug, 2024 by Matt
I reached out to Matt to ask some specific questions I had wanting to start my entrepreneurial journey. Not only was he quick and eager to help, he got me what I needed, answered every question I had, and made me feel like I mattered to him as a client. That alone will make me a client for life.
Matt was knowledgeable, thoughtful, and succinct with his answers that helped me get what I needed done.
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07 Feb, 2024 by Thomas
I have worked with many firms and have used multiple self-help services. Matthew and his team setup my business faster than I thought was possible and closed a deal for me in a matter of weeks. I have used things like legal zoom before. This ultimately cost me less money than those services.
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04 Dec, 2023 by Jess
We've had a great experience working with Matt. He got our LLC set up and ready to conduct business far more seamlessly and efficiently than I thought was possible.
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16 Jan, 2025 by Danny lópez
15 Jan, 2025 by Tanya galloway
1/14/25 was the day the Charles Johnson Law Firm cleared my son case. It was a long stressful 10months. My son was falsely accused of assaulting a police officer. We know the issue with a black man being accused by a white officer. I can go on about but I will not. God lead me to this law firm and I am grateful that I stuck with them. They spoke on behalf and had my son best interests in heart. Thank you Charles Law Firm Family for well job done
My family is truly grateful.
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09 Jan, 2025 by Jeremy
Title: “Unethical, Unprofessional, and Part of a Systemic Problem – Avoid at All Costs”
Review:
I trusted Charles Johnson to represent me in a critical legal matter involving my rights as a parent and the safety of my child. Instead, I encountered unethical conduct and a lack of professionalism that I believe reflects broader systemic issues within the legal community.
1. Failure to Follow Instructions:
Mr. Johnson refused to file motions that were critical to my case, despite explicit requests and legal urgency. Instead, he pursued strategies I advised against, which I believe were contrary to my best interests and to those of my child.
2. Broken Promise for Refund:
After withdrawing from my case, Mr. Johnson explicitly promised in writing to refund my retainer. However, he later reversed that promise without justification.
3. Neglect of the Best Interests of My Child:
Mr. Johnson’s inaction and disregard for my instructions directly contributed to delays and worsened the legal situation for my child. His failure to address critical legal violations has exacerbated the harm my child has endured.
4. Part of a Larger Problem:
I believe Mr. Johnson’s actions align with systemic issues of unethical behavior within the local legal system. His failure to prioritize the law and his client’s needs reflects a disregard for justice and ethical standards. It is my opinion that his conduct perpetuates the very systemic rot that undermines trust in the courts and legal professionals.
5. Unprofessional Communication:
Mr. Johnson and his staff failed to communicate adequately, delayed responses to critical matters, and ignored requests for accountability. These failures reflect a lack of professionalism and integrity that no client should have to endure.
Conclusion:
I believe Mr. Johnson’s actions have caused irreparable harm to my child and my legal case. His refusal to uphold his professional and ethical obligations is unacceptable.
Recommendation:
I strongly advise against hiring Charles Johnson. In my experience, his actions contribute to systemic issues in the legal community and have caused significant harm to me and my family.
Jeremy Oluma
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04 Oct, 2016 by Robet jones
The person you should call if you need an attorney in San Antonio. Mr. Barranco discussed the two issues about which I had questions in non-legal, easy-to-understand language and his advice and suggestions were well thought out and sensible. He listened, was interested in my situation and responded in a way that let me know he cared and had my interest as his uppermost priority. I would recommend Mr. Barranco as legal counsel without any hesitation whatsoever. And, in addition, he is just a very nice guy.
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31 Aug, 2015 by Amie
Mr. Barranco provides excellent legal counsel at a bargain price. After an uninsured driver rear-ended my vehicle in San Marcos, Texas, David helped us recover my losses without charging an exorbitant fee. He defended my sister on a misdemeanor charge; when he established her innocence the court dismissed it. David may be the most experienced and effective Alamo-Heights based trial lawyer. Mr. Barranco helped my family through very difficult situations and we will always be grateful for his good advice.
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25 Mar, 2015 by Ben
Mr. Barranco helped us execute a real estate transaction in Alamo Heights, Texas. He was knowledgeable, helpful, attentive, and efficient. Instead of running up big fees, David is the rare lawyer who works to solve problems quickly and inexpensively.
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24 Feb, 2016 by Anonymous
Mr. Hayes has helped me with my business needs, contracts, liabilities, etc. on numerous occasions. He has always been very professional and extremely professional and knowledgable. He was easy to communicate with and always had prompt response to calls and emails. I would highly recommend him as a lawyer and will continue to use him in the future.
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23 Feb, 2016 by Catherine
Jason is available, knowledgeable, professional for us anytime we have a simple question or need more guidance. He's trustworthy and would recommend him to anyone running a business or simply to get personal legal work done and done right.
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20 Oct, 2015 by Pete
I have had the pleasure of working with Jason multiple times on various legal matters such as the creation of legal entities, funding agreements, and drafting operational agreements. He is smart and efficient, understanding that many businesses don't have money to waste on lawyers. His past experience working for a large national firm gives him knowledge that you can not find for the rates he charges. I look forward to bringing more of my clients to Jason knowing each time that they will be happy with the result and happy with the bang for their buck.
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10 Nov, 2015 by Anonymous
Konstantin reviewed my question and my follow up questions and gave me prompt, informational answers to all of my questions. I needed a consult on oil and gas law in Texas and he was very helpful and cited to Texas law with full explanations. I would not hesitate to hire him if I need further help.
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02 Jun, 2013 by Anonymous
Konstantin was able to get me my money fast!
When you are in a situation where money is on the line, it's nice to know that the attorney you hired is aggressive, means business, and knows how to apply the pressure that's needed to get real results.
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13 Apr, 2013 by Anonymous
Konstantin is a very reliable attorney. He provides service that is efficient, prompt and effective. I have come to Konstantin with various legal issues and he is always able to conduct the research necessary to answer my questions.
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02 Oct, 2023 by Jeff
Roland was excellent in assisting us with drafting some business transfer documents. His knowledge of the law is extensive. He is efficient and concise with his words. We found him to be a compassionate, kind man that we knew we could trust. In other words, he is not anything like your typical attorney.
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13 Sep, 2016 by Bryan
Roland has helped us a ton with compliance and legal work for our new crowdfunding startup. Roland is a great resource for any legal work, but he is one of the few people in the industry that understands the new crowdfunding rules and has the resources to help get clients funded.
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27 Nov, 2012 by Jeff
I have worked with and against Betty DeLargy and have nothing but respect for her knowledge and judgment in approaching the various health insurance and legal issues in which she is involved. She does an admirable job of combining relationships with regulators and her superior knowledge of regulatory issues to arrive at a practical result for her clients.
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27 Jun, 2012 by Melissa
I am in-house counsel with a major health insurance company and have used Betty DeLargy as outside counsel for many years. I would strongly recommend her; Betty has provided significant support with interpretations of state and federal law and her legal expertise has been very beneficial with regulatory compliance issues.
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26 Mar, 2010 by Anonymous
Irwin prepares agreements, contracts and gives excellent information as well as his opinion and he is one of a kind when it comes to perfection. I have known Irwin for many years. He may seem like a man of few words at times - but I have grown to appreciate him and his honesty as well as he is not one to beat around the bush because he says the truth and is very clear with any answers to my questions. I would recommend Irwin as the one of the best in his field. He always delivers excellence and always in a timely manner. He takes pride in his work and as a client, I know it is first class.
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21 Jun, 2009 by Anonymous
Irwin Barg is a very detailed and knowledgeable corporate attorney. His contracts and agreements are very clear, to the point and usually perfect. He is a straight forward attorney that knows what he is doing. I would highly recommend him.
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30 Mar, 2021 by Aasiyah merchant
Mr. Jim and his law firm were a tremendous help to my father. Mr. Jim was very professional and courteous. He took the time to explain every step of the case to my father in a very detailed and thorough manner. He was very positive and confident of the outcome of the case and worked very hard to make sure the outcome was in our favor. I feel very fortunate to have had Mr. Joseph represent my father on his case and we will continue to retain him and his firm for any all legal matters that may arise in our family. If you retain Mr. Jim and The Joseph Law Firm for any of your legal needs you can be rest assured that you are in good and trustworthy hands.
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22 Dec, 2020 by Kal d
I would recommend The Joseph Law firm PLLC to anyone who was in my situation. I contacted the office a few weeks ago regarding my case. From the time I spoke to Mr. Jim, I felt like my issues genuinely mattered to them. They are very professional, compassionate and Mr. Jim immediately made my case a priority. My case was settled in just few weeks and received my compensation in quick and efficient manner. I am proud to be a The Joseph Law firm PLLC client and will continue to retain them for all legal matters that may arise as I know I am in the best hands.
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13 Aug, 2020 by Ochoa
I cannot at this time talk about my Cases because they're so pending! I can tell you one thing and nobody will ever pay me to say this I'm an honest person no matter what these guys will fight for you I wish I could talk more. These guys are the best And I don't care what anyone says thank you Mr. Meyerson, Melva, Jacob, Jessica and the rest of the staff! These guy's work very hard to get you every dime you deserve if someone cause any harm to you or injury they're honest and they go by the book they don't play around they get back with you they don't give you the run around like other attorneys good people that you can trust and highly recommend to your family and friends. #NOFEARTHEMEYERSONLAWFIREISHERE
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23 Jul, 2015 by Jesse weiss
My company has worked with Lee for years. He has extensive experience in all corporate matters that have come up, from entity formation to complex investments to acquisitions. I would highly recommend him.
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16 Jun, 2015 by Mark
Jim has provided legal support to me for more than a decade in both corporate and startup environments. I will use him again and would recommend him to anyone who needs practical legal support focused on solving business problems.
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12 Jan, 2010 by Anonymous
Mr. Whitehouse guided my web firm through a rather intricate start up process with total aplomb. He has excellent communication skills, and was able to keep me in the loop despite my relative ignorance to all things business. He was overly attentive, regardless of the relatively small-scale of our operation, He was far and away the most adroit business attorney that I have ever dealt with, and we will continue to use him for all our contract matters.
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19 Aug, 2009 by Michael
Mr. Miller was very nice and empathetic to my scenario he took the time to listen, and give some advice as what might be the best course of action. I was very up front with the documentation that I had and even though he and I were both in agreement that I had sufficient evidence in my favor. The amount to get the case settled versus the cost to settle the matter did not equal one another. I would recommend Mr. Miller at any time.
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15 Apr, 2008 by Donna
Mr Bissinger has been the attorney of choice for out firm since 2005. He is an extremely compassionate man and dilligient in his work. Mr Bissinger remains steadfast in his drive for justice and does not compromise for anyone for any reason. He is the vooice of reason for us when at times we may be emotionally charged and need some reason.
Mr Bissinger is quick to respnd to any and all communications from our firm, no matter the day of the week or the time of the day. He makes us feel that we are always his top priority even though he has a great deal going on with other clients. We are clearly very fortunate to have Mr Bissinger on our team.
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08 Feb, 2011 by Anonymous
Mr. Adams represented me in my case and was extremely detail oriented and kept me very informed. Les went to every extreme to see my case through to the end, and it paid off. I know he does very good work and everyone in his office is always so helpful. I am honored to be able to write a review on his behalf.
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11 Oct, 2021 by Code blox
Aber Law Firm is simply the best! If you own/ operate a SaaS company, or need legal advice relating to your software offerings, I highly recommend using this firm. Jeremy is a fantastic lawyer who is a leading expert in the field of SaaS offerings. The Aber law firm team is very responsive and provides outstanding legal support.
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18 Sep, 2020 by Alex buckles
Aber Law Firm is top notch. Jeremy is responsive, professional, and highly skilled in his profession. Most attorneys I've worked with in the past want to create custom agreements for every possible scenario. Jeremy has standard agreements on hand for common needs and tweaks them as necessary. In doing so, he may only spend 10-15 minutes on the phone with you, to talk through what needs to be tweaked. He also only bills for time actually spent. I have other attorneys that will drag their feet and try to keep me on for a full 30 or 60, when clearly the conversation has ended, then I get billed for it. Jeremy's billing transparency is almost unheard of. I'd recommend him 10 times out of 10 for any SaaS company.
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10 Apr, 2020 by Kenan rappuchi
Jeremy is probably the most responsive and efficient business attorney I've ever worked with. Possibly beyond law, to include all professional services consultants or firms I've worked with over 3 plus decades.
What I really appreciated is that he stayed on point and didn't ask a bunch of unrelated questions, or start the 'well have you thought about this' conversation - which most attorneys, experts or consultants try to pull to lure in a potential client on fear of unknowns and justify more billable time for some unnecessary advice or service that wasn't asked for.
If you need an attorney with Jeremy's area of expertise, run, don't walk to Jeremy. Your business will be better off for it.
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08 Oct, 2022 by Ray burchette
07 May, 2018 by H d
06 Feb, 2020 by Peggy williams
Nelda Williams was the best secatary van wagner
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21 Dec, 2022 by Brandon rogers
29 Jun, 2021 by Jerry surber ii
Food is addicting and service is friendly
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29 Jul, 2019 by Patti clay
I worked there and loved it!
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29 Jun, 2021 by Jerry surber ii
Food is addicting and service is friendly
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03 Dec, 2024 by Jimmy seeley
Shaun is amazing! I was apprehensive about hiring a lawyer but after speaking with Shaun, I knew i had made the right choice! He's both personable and knowledgeable... he goes out of his way to be up front and put you at ease by patiently explaining the process. He's in it to win it! If I hit the lottery, I'd hire him to be my personal attorney! I trust him, and that's a rare commodity now a days! Thank you Shaun!
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12 Sep, 2024 by Gloria diaz
Attorney Shaun G. Brown was very efficient in solving my case, he explained my options and even guided me in case I wanted to fight my case on my own without paying. He’s very knowledgeable and responds fast to any of your concerns via text, email or phone. I will definitely refer him out to my friends and family. Thank you Mr. Brown.
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11 Jun, 2024 by K riot
I had the pleasure of talking with Attorney Shaun recently, and I must say, it was an exceptional experience. Shaun demonstrated a remarkable level of honesty and dedication throughout our interaction. He patiently listened to my needs and went above and beyond to assist me in navigating the legal landscape. His willingness to devote time and attention to my case was truly commendable. I highly recommend Attorney Shaun to anyone seeking reliable and supportive legal counsel.
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31 Jul, 2024 by Joey elam
17 May, 2024 by Jamie edwards
Mr. Jefferies has been helping with our legal needs for 5+ years and has been a complete pleasure to work with. Professional, honest and really, really good at what he does, I could not recommend him more. You will always be in good hands when you make the decision to work with him.
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17 May, 2024 by Tim morris
Mr. Jeffries was very knowledgeable and was very eager to help with our situation we could not have asked for better representation on our case thank you very much.
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05 Aug, 2024 by Babak misaghian
Nima is a dedicated and hardworking lawyer. I recommend him for any personal injury cases. He handled my case with patience and got me a great result!
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12 Jun, 2022 by Evrim peynircioğlu
Best litigation law office in town comprised of highly experienced, knowledgeable and professional lawyers and investigators. I would definetly recommend them for any legal dispute you have.
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12 Jun, 2022 by Yashar a
12 Jan, 2025 by Farhana haque
They are very unprofessional. And their communication is really bad. In the middle of my GC processing he told me he can not help me with my previous file which we have discussed before starting the process.Then I had to find another lawyer
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06 Jan, 2025 by Wannytta janelle ens
Definitely would recommend!! They went above and beyond to answer any questions I might have, and triple check that everything was correct before anything got sent off!! I really appreciate their help!
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16 Oct, 2024 by Cindy guzman
My experience with this law group was amazing. Garrett, who was my lawyer, was very professional and reliable. He always was available to answer questions. His assistant Candice was also very knowledgeable and was always ready to answer any questions. They were always there to ease my mind anytime I would get a letter. I have recommended this law firm to several people already and I will always be grateful for all they did. They are the very best. I don't think that I can ever find better people then them.
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22 Dec, 2022 by Martin reyna
02 May, 2021 by Matthew preston
23 Jan, 2020 by Wendy holder
Excellence at it's best!
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26 Jun, 2023 by Keith bragg
18 Jan, 2020 by Kimiko williams (firered)
22 May, 2019 by Penni smallwood
Mr. Pierce handles everything thing very professionally. Communication goes very smoothly. Mr. Pierce keeps you in the loop consistently. He works hard to help his clients. He has valuable experience handling criminal law cases. I would highly recommend him.
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04 Dec, 2024 by Rowdy mccurley
Anytime I call he picks up! He always helps me with questions I have and how to go about situations in the best way. He is honest with me and doesn’t try to just take your money. I will always use Andrew.
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22 Nov, 2024 by Taylor johnson
Andrew is a truly impressive attorney who goes above and beyond for his clients. His professionalism, sharp legal skills, and dedication is always apparent. If you’re looking for someone you can trust with high-stakes cases, Andrew won't let you down!
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20 Nov, 2024 by Martin garcia
Good communication, good professionalism, and will recommend to anyone to Andrew.
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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.
