The Tarheel State

After twelve years of working in New York, Michael decamped for Asheville, NC, a wonderful, small city in Western North Carolina. Asheville sits in the Appalachian Mountains, with four entrances to the Blue Ridge Parkway, which makes taking a weekend drive or, better yet, a hike, an easy option. Still, New York is just a quick flight from Asheville; Michael can be onsite at clients in New York and elsewhere even on last minute's notice.

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ABOUT MICHAEL ZUCKERMAN

Michael's background includes bank products, broker-dealer law, mutual fund distribution, private funds, offshore funds, variable products and investment advisers. Michael Zuckerman has more than 25 years of experience as an attorney in the financial services industry. Prior to founding this private practice, Michael trained with Dechert LLP and worked with one of the largest hedge fund managers, Millennium Management, LLC (Millennium Partners), one of the largest insurance companies, Metropolitan Life Insurance Company, and the brokerage industry's regulator,  FINRA (Financial Industry Regulatory Authority).

Michael works with in-house counsel, compliance staffs, business personnel, or as an adjunct to a company's regular, large-firm counsel.  Whether you need assistance with contract review, have a question regarding a compliance issue, or need ongoing, cost-effective legal assistance; Michael can assist you.

Michael has experience with all of the major securities acts, including:

  • Investment Advisers Act of 1940,
  • Securities and Exchange Act of 1934,
  • Securities Act of 1933,
  • Investment Company Act of 1940, 
  • The Commodity Exchange Act

Michael can help you with a variety of regulatory issues involving:

  • Form ADV
  • SEC, FINRA and NFA Inspections
  • Ongoing compliance programs (through Summer Hill Compliance, LLC)