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22 Jan, 2025 by Nikhil sangale
13 Dec, 2024 by Joeann shaw
I’m so grateful I find Atty Pratibha Agarwal and her team. They help you a lot regarding immigration issues. They explain, and giving you advises what’s the best! I’m overwhelmed! More power to your firm and Thank you very much! God bless
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23 Sep, 2024 by Sonia rajput
09 Sep, 2024 by Zhang
While the service was on the pricier side, the 360-degree analysis they provided was absolutely worth it. We had a tight deadline, but they delivered a detailed, in-depth review of all aspects of our case. Their insight and thorough approach helped us feel confident heading into the trial, knowing that nothing was overlooked. It laid a solid foundation for our legal strategy, and I’d highly recommend them to anyone needing fast, reliable pretrial services.
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08 Aug, 2024 by Jc
Roman Law Firm truly exceeded my expectations. He provided several opinion letters on our thorny business matters, which were crucial in navigating complex legal landscapes. His attention to detail and thorough understanding of the law ensured that our transaction was seamless. I highly recommend Roman Law Firm for any business or real estate legal needs.
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11 Jun, 2024 by Sharon
Roman helped incorporate our company seamlessly, drafted comprehensive bylaws, and expertly resolved complex corporate issues. His legal expertise is invaluable.
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30 Jan, 2025 by Sandeep giri
Very positive experience with Lisa S & Hayden H. They're responsive, experienced, and caring. Highly recommend their firm.
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06 Jan, 2025 by Sammy romeo
So for everyone I have talked to has been friendly and professional.
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04 Jan, 2025 by John johnson
23 Feb, 2013 by Anonymous
Ms. Bernd-Schulz is an excellent attorney with years of industry experience and knowledge. She is adept at explaining the nuances of my legal situation and guided me through the options available. She is patient and always accessible. She is diligent and is always seeking to strengthen my business model. No issue is to big, small or complicated for Ms. Bernd-Schulz. She is a tireless advocate for my business and its needs.
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23 Jan, 2013 by Nerva
Dawn provides excellent legal services to her clients. She is very thorough and knowledgable. She has prepared my contracts for my business, and each one was prepared with specific requests, and careful considerations. Her execution is accurate and to the point. I highly recommend Dawn Bernd-Schulz.
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17 Jan, 2013 by Norma
DBS law firm has provided excellent service with regards to contract negotiation and certain corporate matters.
DBS took the time to explain in great detail, the specifics of my matters and I was able to grasp it with a clear understanding because she was able to explain complex legal issues concisely and in plain language.
A top-level attorney!
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06 Aug, 2009 by Anonymous
I have hired several lawyers for my business dealings, but none of the caliber of Jon Talcott. He is intelligent and has a passion to reslove the issue at hand. It was a pleasure to work with him.
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25 Feb, 2023 by Tim conlon
True and tireless advocates! I applaud them!
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30 Jan, 2025 by Sandeep giri
Very positive experience with Lisa S & Hayden H. They're responsive, experienced, and caring. Highly recommend their firm.
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06 Jan, 2025 by Sammy romeo
So for everyone I have talked to has been friendly and professional.
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04 Jan, 2025 by John johnson
22 Jan, 2025 by Nikhil sangale
13 Dec, 2024 by Joeann shaw
I’m so grateful I find Atty Pratibha Agarwal and her team. They help you a lot regarding immigration issues. They explain, and giving you advises what’s the best! I’m overwhelmed! More power to your firm and Thank you very much! God bless
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23 Sep, 2024 by Sonia rajput
26 Sep, 2024 by Mercy poteet
In my forty years in business, I have yet to come across someone as knowledgeable and helpful as Mr. War. From our first phone meeting to when my trademark and patent were issued, he went above and beyond to ensure the process succeeded. I can't think of a single way he could have improved his excellent service. Thank you isn’t enough! Steve, you helped me do what seemed impossible!
Mercy Poteet / Flame Stacker Fire Pit
9/26/2004
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30 Jul, 2024 by Deepak ganesan
No nonsense, quick and understanding. Excellent service. Got my requested service done within a week. Walked me through every step.
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25 Jul, 2024 by Michael harper
Attorney War is amazing to cooperate with. He is very knowledgeable, punctual, and encouraging. He understands the agenda and executes fearlessly. Thanks!
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23 Jan, 2025 by Dionne bryant
So far this has been a frustrating experience. I constantly have to call for a follow up and promised someone will call but they never do that also includes emails. I asked for my retainer fees payments back and have not heard back…
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23 Jan, 2025 by Chris
I had a very positive and productive conversation with Mr. Hudson. I couldn’t be more pleased. He was very knowledgeable and listened to me. Mr. Hudson was very easy to talk to and had a very pleasant demeanor. We came up with a clear path to attain my goal, and I am certainly excited that the firm is representing me.
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23 Jan, 2025 by Donna blackledge
I spoke with Nora and she is amazing and I recommended her to my daughter and would recommend her over and over.
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22 Feb, 2013 by Dr rebecca stone
Ronald Ross worked with me for several years in Virginia. Ron worked in the energy field and was a great asset. He worked on corporate law and helped on many unusual transaction structures. We worked with many outside law firms and large investment banking firms. He is very sophisticated and bright. He has a Harvard education. He is charming and well read. You will be happy to have his insights. Our office budget was very large and the deals were very complicated. He never complained about the work load.
I wish him continued success and hope that he runs for office in the future. He has a great gift in protecting and representing the best interest of others.
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02 Apr, 2008 by Anonymous
By far the most knowledgable lawyer about anti-money laundering laws and their application to mutual funds.
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02 Aug, 2019 by Hector torres
I am working with WMC offices in Waahington D.C. - Fort Lauderdale, Florida and Puerto Rico. My exoerience is they consistently proved Professional and very knowledgeable best in class attorneys.
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06 Aug, 2018 by Joyce andersen
After being underpaid by insurance for my 'Sandy' claim, and after facing one brick wall after another (even after fraudulent activity was uncovered within FEMA and ins. companies), I turned over my concerns to these knowledgeable and persistent attorneys. Success!! The whole team was understanding, encouraging, and unrelenting in their efforts to help me. I can now complete my repairs.
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05 Aug, 2018 by Juniormac
When Hurricane Sandy came through our area, my family and I , along with many, many others were in serious trouble. This area was a mess. Growing up in Florida, it was obvious that Long Island was not prepared nor equipped to deal with this type of storm!! Getting cleaned up, having our electric restored was a very long and slow process, but we started to come back to somewhat of a "normal" situation a couple of months after the storm. We had insurance, and went through the process. SBA loans were available unfortunately we used this option, because the representatives from the SBA who were processing the loans gave a lot of people the wrong information, and we are going to pay for that for many, many years to come. Honestly, again after spending most of my life in Florida the way the storm was handled by insurance companies, and then the state ( NY Rising) it was confirmed that a category one storm with a 8 to 10 ft storm surge was out of the ordinary for this area, and was not something that could have been handled. Unfortunately, I have been through quite a few large hurricanes, and have never experienced anything close to this. About a year after the storm my dad advised me about a law firm that he spoke to that was assisting people in this area to financially be made whole again. So without expecting much I contacted them. I had the consultation over the phone, sent the paperwork they requested, and met with representatives and inspectors from the law firm. What I saw then was nothing short of amazing . It was like they were trying to rebuild their own home !!!! They were constantly in contact with me, did exactly everything they said they would, and were very thorough in every aspect of the case. I met a gentleman named Nick, he and his team were handling my case, and they were fantastic. Have you ever called a bank , credit card company, etc ? And you left a message that fell into a "black hole" and you had a better chance of getting hit by lightning then receiving a call back ? Well this wasn't like that at all, when you called for something, they answered the phone, i think in the almost 2 years that this process took, i maybe had to leave 2 or 3 voicemails, they were right there. I haven't had to many experiences dealing with law firms, but if they were all like this the world would probably be a better place, it was so nice to see people have pride in what they do, especially in today's age!!!
All I can really tell you is, I'm not sure exactly what other areas of law that Weisbrod Matteis & Copley handle , or if you now or in the future might need an attorney, but if you do call these people. Because, I don't write reviews at all (as you can probably tell) but if you have the same experience I did which I'm sure you will, then you will be writing one too!! This law firm is absolutely the way to go !!
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21 May, 2023 by Jennifer anukem
Intelligent
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09 Apr, 2022 by Christopher wilson
12 Nov, 2020 by Ann ratnayake macy
I have been lucky to work with Matthew Fineberg on a number of matters. He is an exceptional attorney. He works incredibly hard on behalf of his clients, is responsive, and goes above and beyond for their best interests. He was able to secure the asking settlement in less than a day on a business matter.
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13 Nov, 2019 by Lukwesa morin
This law firm has restored my faith in morale in this society. I was a wronged client in an employment matter and worked with two lawyers from this firm over the span of a year so if there was ever the need for a truly transparent and thorough review, it would be this one. Throughout the entire time I worked with Jeffrey Bartos and Raziya Brumfield at this firm, I felt heard, acknowledged, and truly cared for. Not only does this firm bring a wealth of knowledge regarding legalities and expertly drafted arguments, but they are completely transparent and forthcoming about their operation and rationale. I was pleasantly surprised to see that they not only sympathized with my position but they were able to articulate my thoughts and intentions in a manner that speaks to the factual record and I feel really blessed to have had the opportunity to work with the attorneys as my case was particularly sensitive. Everything worked out in the end in terms of obtaining favor for our case, and I highly recommend this firm to anyone that is looking for top notch representation and advocacy. If i had to do it all over again, I would still choose this firm. God bless you both.
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27 Jan, 2019 by Kathy hickman
Elizabeth Roma JD did an outstanding job in handling my contract dispute. She worked tirelessly to reach our objectives and was very professional in all her transactions. In the end, I obtained the settlement I wanted at a very reasonable fee. I highly recommend her!
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22 Oct, 2021 by Bruce general
Thanks Tina 😊 for taking care of my case blessings 🙏 ✨
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06 Dec, 2017 by Yehoshua othniel
30 Jan, 2025 by Sandeep giri
Very positive experience with Lisa S & Hayden H. They're responsive, experienced, and caring. Highly recommend their firm.
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06 Jan, 2025 by Sammy romeo
So for everyone I have talked to has been friendly and professional.
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04 Jan, 2025 by John johnson
26 Sep, 2024 by Mercy poteet
In my forty years in business, I have yet to come across someone as knowledgeable and helpful as Mr. War. From our first phone meeting to when my trademark and patent were issued, he went above and beyond to ensure the process succeeded. I can't think of a single way he could have improved his excellent service. Thank you isn’t enough! Steve, you helped me do what seemed impossible!
Mercy Poteet / Flame Stacker Fire Pit
9/26/2004
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30 Jul, 2024 by Deepak ganesan
No nonsense, quick and understanding. Excellent service. Got my requested service done within a week. Walked me through every step.
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25 Jul, 2024 by Michael harper
Attorney War is amazing to cooperate with. He is very knowledgeable, punctual, and encouraging. He understands the agenda and executes fearlessly. Thanks!
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04 Oct, 2024 by Sonja pohl
My settlement check arrived today and I will be eternally grateful to The Law Office of Leah Durant, her associates and staff for the efficient way they handled my case.
I would like to commend them for keeping me informed and making me aware of any new information. Anytime I talked to anyone in their office they were professional, pleasant, helpful, informative and made me feel valued.
As soon as the case was closed and the settlement was made available to them, they immediately sent it to me.
I would highly recommend them as they made everything easy and got results beyond my expectations.
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03 Oct, 2024 by Elaine phelan
we used Leah Durant to represent my husbands vaccine claim and can not say enough about the services we received from her and her wonderful staff and we had a great outcome would highly recommend 5 star ten out of ten Sean and Elaine
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01 Oct, 2024 by Deane southworth
Leah and her staff are amazing at what they do! This is not the sort of injury you would give to a typical injury lawyer. They walked me through the process and kept me informed the entire way, best of all the entire award for my injury was all mine! the government pays the attorney fees directly.
I would highly recommend Leah's firm to anyone who is unfortunate enough to get a vaccine injury! They will make the process easiest part of the injury.
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08 Jul, 2024 by Ali alqudah
13 Nov, 2023 by Famous bangla
08 May, 2023 by Ronnie green
09 Mar, 2023 by Eric b-b
Excellence in legal services
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08 Dec, 2022 by Richard woodford
Nice building close to Metro & Theater area
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04 Jul, 2022 by Edwin lizama
05 Aug, 2023 by Hassan ashwor
She is an amazing lawyer, she did an excellent job organizing my transition from Iraq to the USA. She transferred all my outstanding documents at the embassy for issuance. I appreciate her work a lot.
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11 Jul, 2023 by Brian kisielewski
15 Nov, 2022 by William l. hawkins
Granted, it was November 13th, but the gardens were disappointing and closed in several areas (without any prior notice), the normal work required in a garden in "November" had simply been neglected, however, the inside of the palace was amazing ... a must see.
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08 Jan, 2025 by Kevin brandes
Carlotta is amazing, and as always makes the transaction a breeze. Cannot be thankful enough for their services!!!
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10 Dec, 2024 by Danaya scott
Does anybody amswer the messages. I habe sent several messages with no response.
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19 Nov, 2024 by Garrett mino
Gerben was reccomended through a trusted friend down here in Texas who has used them multiple times, and our experience using this team was first class as well. Very efficient and had a good strategy to register our trademark. They were always prompt with relaying updates through the process so you never questioned what was going on during the standard lengthy approval process. Thank you Eric and team.
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05 Oct, 2024 by Pierrot julien
07 Mar, 2023 by Steven domenici
11 Jun, 2022 by Suzanne perry
I work here
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05 Oct, 2024 by Pierrot julien
07 Mar, 2023 by Steven domenici
11 Jun, 2022 by Suzanne perry
I work here
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05 Aug, 2023 by Hassan ashwor
She is an amazing lawyer, she did an excellent job organizing my transition from Iraq to the USA. She transferred all my outstanding documents at the embassy for issuance. I appreciate her work a lot.
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11 Jul, 2023 by Brian kisielewski
15 Nov, 2022 by William l. hawkins
Granted, it was November 13th, but the gardens were disappointing and closed in several areas (without any prior notice), the normal work required in a garden in "November" had simply been neglected, however, the inside of the palace was amazing ... a must see.
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17 Jul, 2022 by Sir david williams
06 Feb, 2019 by Steven strasburg
19 Nov, 2018 by Frank federer
HPM is the preeminent FDA & regulatory firm in the city. Clients have the benefit of working with senior attorneys. I have depended on Diane McColl for guidance over 20 years for several companies. I can recommend her and the firm to any company in the medical space.
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09 Jan, 2025 by Jen desjourney
I had an EEO case and felt very lost. I reached out to a previous law firm before Pitre and Associates, I did not have much faith in them. I continued researching and came across Pitre & Associates. My case was lengthy but it was handled and walked away with what was necessary. My dignity, and being able to apply for the gov with a new, clean SF-50. Overrides all they (the opponents)attended to do to my career. Was also compensated for damages.
Pros: you will come out with something good amd benefitial with Pitre & Associates.
Cons: It can get costly. Stand up for what you believe in, but be ready to spend some coins. The great thing is Mr. Pitre fights for you to get that money back. Thank you God!!
I would certainly hire the firm again. I recommend the firm to anyone feeling lost and dealing with an EEO, Harrassment, hostile work environment, discrimination. I pray, I never get in a position like that again. It was emotionally draining. Michelle was my fave attorney, although I did not have her for too long. It is not just a job to her, she cares for people. I sensed that. Mr. Pitre is extremely knowledgeable and extremely responsive; he became my other fave at the end.
My wish is: I had found them sooner for some advice before I had even attempted to deal with this. I was high risk pregnant in a very unhealthy situation. Some professional guidance would have helped. They are on my emergency call list if I come across something like this again.....God willing.
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10 Dec, 2024 by Sara akbarian-tefaghi
We navigated a niche trademark space with William, and he did amazing in guiding me on that path.
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07 Aug, 2024 by Lorraine sands (lorraine)
If you are looking for a strong lawyer who will aggressively fight for your rights; Senior Associate Michelle de Vera will be the perfect lawyer for you. I can attest to this. I truly appreciate her walking me through the complex EEOC process. What I was going through was bad enough, our discussion/talks gave me peace and relief, but most importantly peace. I will refer Pitre & Associates any day and especially, Senior Associate Michelle de Vera.
L. Sands
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18 Oct, 2024 by Rosita somarriba
Ganaron mi caso en el 2019 los mejores
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26 Mar, 2023 by Teh grl
Came here for a young real estate council event. The offices are hip and modern and very VIP vibe. If you get a chance to go do so!!!
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14 Mar, 2021 by Sharn rodriguez
Great food, great drinks!
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05 Oct, 2024 by Pierrot julien
18 Sep, 2024 by Alan boyes
We used Newton Group and DC Capital to cancel our timeshare with Westgate Resorts. We were warned that they were the most difficult timeshare to end. We were kept informed of progress, and though it took a long time we had a happy ending and no longer saddled with this timeshare.
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26 Jul, 2024 by Carmelita williams
I signed up with Newton Group Transfers on 19 February 2019 with Karl Vogel. Billy Williams and Heather Caeners kept me informed on activities they were doing on my behalf. On 31 May 2024, I received a phone call from Kameron that the resort had closed down for good. On 6 June 2024, I received a letter from Robert Buddingh, Attorney confirming DC Capital Law representation on my behalf has concluded and I no longer have any financial obligations to the timeshare entity.
Thank you Newton Group Transfers & DC Capital Law Firm!
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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.
