Practices | Financial Services and Securities Law

The financial services and securities lawyers at Bernstein Shur offer representation  on the full spectrum of securities regulatory, compliance and transactional matters, including counseling on capital structure, key governance matters, fiduciary responsibilities, no-action and exemptive relief, and defense of SEC investigations and enforcement matters.  The group has expertise in handling matters involving public and private issuers, banks, mutual funds, hedge funds, investment advisers, broker-dealers, fund industry service providers, and diversified financial institutions.

Our financial services and securities attorneys include former senior staff members of the U.S. Securities and Exchange Commission and former in-house attorneys for some of the world’s largest financial institutions.  These individuals give the firm considerable strength in providing foresight and conscientious counseling to securities and financial services industry clients.

Our clients range from small industry participants with no internal legal staff to large market capitalization issuers with substantial internal legal and compliance teams around the globe.

Our financial services and securities attorneys specialize in:

  • Corporate trust services
  • Investment management industry
  • Private equity
  • Sarbanes-Oxley and corporate governance
  • SEC examinations and enforcement/Internal investigations