General Counsel

We offer our extensive business and securities knowledge, experience, and expertise to small and medium size financial firms (and their affiliates) through our fractional general counsel services. These services are intended to provide our clients with the same advantages of having an in-house legal team, i.e., a high-quality service, keeping abreast of the current trends, addressing the latest regulatory guidance and rules, and generally bringing a unique perspective and comprehensive approach to addressing any issues that arise in the course of their business, for a fraction of the cost.

Our general counsel services are customized to the specific needs of each business. We strive to understand the overall goals of each of our client’s business, what services would be helpful to the client, and develop an engagement to fit the client’s needs. Fractional general counsel services are offered on an hourly fee and fixed fee for those without significant needs, or a subscription (discounted) monthly fee. Our fractional general counsel services generally incorporate any and all aspects of a client’s business.

Our General Counsel services include:

  • Business formation and registration
  • Negotiating and drafting contracts
  • Handling employment matters, including non-disclosure agreements, offer letters, and employment agreements, and onboarding new employees
  • Managing corporate governance, including attending board meetings, drafting meeting minutes, drafting consent in lieu of meeting, and preparing stock option plans
  • Handling disputes and litigation
  • Business succession planning
  • Ensuring regulatory compliance
  • Risk mitigation and management
  • Collaborating with internal team to provide support on issues that arise
  • Interpretation of securities rules and regulations to apply to the Firm’s business practices, policies and procedures
  • Advertising review to ensure compliance with marketing rules, including review of firm websites, social media pages, blog articles, podcasts, and other marketing materials
  • Keeping clients abreast of regulatory changes and working with clients to incorporate any regulatory changes to their standard course of business


Practice Areas:


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Regulatory Defense, Securities Litigation, Private Funds, RIA Registration, General Counsel, Mergers & Acquisitions, FINRA Expungements

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