The Stark & Stark Investment Management & Securities practice understands the legal and practical issues facing investment professionals in providing advice and counsel for investment adviser regulations, security arbitration, litigation and enforcement, broker-dealer regulations, investment company and hedge funds, investment banking & venture capital and corporate governance. Small to medium size clients often entrust us as an “outsourced” legal counsel and compliance adviser, providing services to many investment advisers at a great savings over the cost of hiring and maintaining a legal department. We regularly aid the legal and compliance departments of medium to large size investment advisory firms and represent large advisors with significant internal legal capabilities who seek to leverage our extensive experience in complex issues and the latest developments. We have been an active counselor in many transactions involving the purchase, sale, or merger of investment advisory practices.
Our Securities Arbitration and Litigation lawyers, together with other Stark & Stark attorneys from a wide array of legal disciplines, handle complex litigation matters, shareholder derivative suits, arbitrations, regulatory investigations and proceedings, parallel criminal and civil proceedings, sales practices claims, employment discrimination claims, U-4 and U-5 defamation claims, unfair competition, markups and other claims of sales practice violations. The spectrum of proceedings includes subpoena enforcement, administrative hearings, SRO disciplinary proceedings, and others.
