SEC Regulatory Attorneys & Corporate Counsel

Understand. Define. Achieve.

San Diego
619.298.2880
San Francisco
415.766.3599
Los Angeles
213.631.2549

What We Do

We offer investment advisers, broker-dealers, hedge funds, private equity firms, banks and other market participants comprehensive representation relating to:

Formation | Business Transition l Regulatory Compliance | SEC Exams | Corporate Counsel Support

With additional focus on business model transitions, mergers and acquisitions, dissolutions, and contract negotiations and analysis, JLG offers comprehensive legal services to clients of all sizes in California, throughout the United States and internationally.

Schedule a Strategy Session

619.298.2880 or contact us online

How Can We Help

Media Center

Legal Tip

Breakaway 101: FAQs for Transitioning Advisors

Publication

Tips on How to Prepare for Your Next Examination: Part 2

Blog

Inside the SEC’s Proposed New Rules for Financial Advisor Advertising

Legal Tip

How Termination Events Trigger Form U5 Disclosures

Publication

Securities Law Issues Involving Crowdfunding Transactions

Our Professionals

The team at JLG is prepared to navigate you and/or your firm throughout the most complex legal needs. Our professionals offer securities and corporate legal counsel to broker-dealers, investment advisers, hedge funds, investment companies, compliance officers, financial professionals, banks and lending institutions, and corporate clients nationwide.

Meet Our Team

Careers

As a boutique law firm, our team values quality and client trust. We provide one of a kind legal know-how and first-hand understanding of the financial and securities industry.

Join Our Team

Call Today for a Consultation

Toll Free: 866.497.2298