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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Michael commonly assists with:  

  • Review and negotiation of mutual fund dealer and service contracts.
  • Contracts related to the financial services business. 
  • Securities and mutual fund advertising.
  • Private placement issues.
  • Compliance policies, including implementing a new or revised compliance program.
  • Issues that arise in connection with Form ADV, Form BD, Form U-4 or Form U-5.
  • Due Diligence.
  • Preparation for FINRA inspections.
  • Discussions and negotiations with FINRA Advertising Regulation Department.
  • Agreements relating to brokered bank deposits and bank sweeps.

Michael has also assisted a variety of financial services companies with their business-related legal issues, including contract disputes, employee/employment issues, and website/advertising issues.