- Can the different internal operations systems of each company be fully integrated with one another?
- Are the trading platforms compatible?
- Are there conflicts with the respective products and services offered?
- For companies doing business in the financial services or securities industries — questions about whether to merge, buy or otherwise acquire a competitor or compatible business entity raise a number of questions, beyond the normal regulatory challenges involved.
At JLG, we provide the full range of legal support and services required to successfully complete mergers and acquisitions of existing broker-dealer entities, investment advisory firms and other financial service companies.
The Securities Attorneys, and the JLG professional support staff help to simplify the process, avoid unnecessary delays and monitor excessive costs for those clients seeking to merge, acquire, sell or restructure equity ownership or control.
The M&A services our firm provides may include:
- Purchase and sale agreements
- Acquisitions and sales of business assets
- Joint ventures and spin-offs
- Proxy statements and voting matters
- Registration, issuance and transfer of public and private securities
- Venture capital agreements
- Financing, capital and ownership structuring
- Assistance with completion and filing of Continuance in Membership Agreements (CMAs)
- Representation before the SEC, FINRA and other regulatory agencies
- Rule 144 transactions
- Regulation D private placement memorandums
- Creation of all required client and public disclosure documents
- Management, employment, and indemnification agreements
- Employee benefits plans
- Shareholder communications
- Executive compensation and stock option agreements
- Succession planning
- Support and counsel to boards of directors, board committees and executives
- Ongoing regulatory compliance reviews
Jacko Law Group, PC assists clients throughout the United States with transactional advice and a full range of services related to sales, mergers and acquisitions of broker-dealer, financial services and investment firms.
For more information or to speak with a securities attorney — contact our San Diego law office directly at 619-298-2880 or contact us online.
Suite 208