We are a consultancy devoted to providing low cost seamless capital markets consulting services to the financial services industry. For entrepreneurs seeking to raise money through private placements or public offerings through Regulation A+, Form S-1, or Form 10 Registration Statements, we provide low cost seamless consulting services to prepare the offering documents, including filing such documents with the appropriate regulatory agencies such as the SEC, FINRA and various State Administrators. We have also developed a REITS Consulting platform to enable real estate entrepreneurs set up publicly traded REITS for mortgages and real estate development. We also provide introduction to the securities brokerage community through relationships our Principal has developed over the past 30 years of brokerage industry experience.
We also represent individuals seeking to form broker-dealers, hedge funds, investments advisers and provide on-going compliance services to such entities. The unique advantage we bring to the service of our clients is hands on experience. Our principal worked for FINRA and has held various legal and compliance positions in the securities industry. Our principal also holds an accounting degree and worked as a Staff Accountant with Deloitte. His accounting background comes in handy in his successful defense of broker-dealers facing FINRA enforcement actions for financial and operations violations. Moreover, our principal has run broker-dealers in the past and as such has a first-hand experience of the headaches that come with running a broker-dealer. Therefore when you retain us to represent you in securities industry matters, you are retaining counsel that has both the regulatory and the practical business-side skill sets.
Because of our principal’s background both as a former FINRA examiner and former registered principal of FINRA member firms and legal counsel to registered investment advisers, we do not seek to complicate matters or look for problems – a common complaint that clients have for lawyers. We seek solutions for problems. We anticipate what problems could come up in a typical regulatory and/or compliance situation and advise you on how to address the problems so that when the regulators come knocking at your door, the problems are either very minimal or the regulatory fines or criticisms would have already been drastically muted. In effect, we try to take the edge off the regulatory fight long before the battle lines are drawn.