Our firm was originally founded in 1980 by three former staff members of the Central Regional Office of the Securities and Exchange Commission. Since that time the firm's legal practice has expanded into other areas of law. The firm's practice is currently focused on business and securities law, tax law and estate planning.
The firm represents issuers in public offerings and private placements of securities and periodic reporting and other regulatory matters. It represents entities and individuals in connection with investigations and enforcement actions by the SEC and other regulatory authorities, as well as investors and securities professionals in litigation.
The firm represents issuers in public offerings and private placements of securities and periodic reporting and other regulatory matters. It represents entities and individuals in connection with investigations and enforcement actions by the SEC and other regulatory authorities, as well as investors and securities professionals in litigation.
Services
As a former general counsel and president of a broker-dealer and a current counsel to other broker-dealers, Mr. Bean has spent much of his career representing broker-dealers in arbitration, and he is well versed in the rules and regulations under which broker-dealers operate. This experience makes Mr. Bean uniquely qualified to represent investors when they have claims against their broker-dealer or investment adviser.
Mr. Bean, as a former general counsel and President of a Broker-Dealer, is uniquely suited to provide Broker-Dealers and Investment Advisers general representation regarding their business, including compliance, regulatory inquiries, offerings, securities litigation and sale of their business.
Mr. Bean has over 25 years of experience representing regional and local broker-dealers before the Securities and Exchange Commission ("SEC"), the Financial Industry Regulatory Authority ("FINRA"), State securities commissions, and in arbitration before FINRA.
Mr. Bean has over 25 years of experience representing regional and local broker-dealers before the Securities and Exchange Commission ("SEC"), the Financial Industry Regulatory Authority ("FINRA"), State securities commissions, and in arbitration before FINRA.
As a former general counsel and president of a broker-dealer, Mr. Bean is uniquely qualified to provide advice and counsel to registered representatives and investment adviser representatives both in connection with their employment agreements with their broker-dealers and in litigation.
When a customer brings an arbitration against the broker-dealer and the representative, it is sometimes necessary for the representative to have counsel separate from the attorney representing the broker-dealer.Representatives may also need their own representation either when negotiating the terms upon which they will become associated with the firm, or when negotiating the terms of their exit from a firm.
When a customer brings an arbitration against the broker-dealer and the representative, it is sometimes necessary for the representative to have counsel separate from the attorney representing the broker-dealer.Representatives may also need their own representation either when negotiating the terms upon which they will become associated with the firm, or when negotiating the terms of their exit from a firm.
Mr. Bean has over 25 years of experience representing corporations and limited liability companies from incorporation through private and public offerings and thereafter. In addition, Mr. Bean has acted as in-house counsel for a broker-dealer as well as its president.
This experience has provided Mr. Bean with a broad background to provide corporations and other entities with the general legal advice that all companies need, including choice of entity, general contract work, employment matters, business plans, regulatory issues, securities issues, corporate governance, shareholder issues or litigation involving the business.
This experience has provided Mr. Bean with a broad background to provide corporations and other entities with the general legal advice that all companies need, including choice of entity, general contract work, employment matters, business plans, regulatory issues, securities issues, corporate governance, shareholder issues or litigation involving the business.
Our firm provides a broad range of legal services to buyers, sellers, builders, lenders, landlords, tenants and others for commercial and residential real estate matters. Our services include tax planning, due diligence, title review, leasing and financing. Drafting the necessary agreements is frequently the most important part of the legal services provided in any transaction.
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