PRACTICE AREAS

Allen & Thomas is experienced in protecting private companies at all stages of their organization’s growth. We pride ourselves on being committed to client success and are here for you, every step of the way. Learn more about what we offer below.

INVESTMENT COMPANIES & FUND FORMATION

We understand the challenge of raising investment capital and advise hedge funds and private equity funds in all stages of their formation and operations. We counsel fund managers on securities law, prepare clients for marketability, advise on commitments and subscriptions, and make required regulatory filings. In addition, we provide innovative solutions to issues arising at all stages of a fund’s life cycle. Working with investment banks, issuers, transfer agents, and private equity sponsors across a range of industries, we provide efficient legal solutions while helping our clients remain in compliance in a heavily regulated industry.

DUE DILIGENCE & RISK AUDITS

We provide in-depth risk assessments and independent due diligence services. We work with a range of clients, including, broker dealers and registered investment advisors. We have a long history of auditing the internal controls of financial advisory firms and broker dealers, and have consulted with real estate investment trusts, separate account management structures, and family offices. Securities placement agents and investors use our due diligence expertise to investigate business investment opportunities.

CORPORATE FINANCE & SECURITIES LAW

Our experience is deeply rooted in securities and business law and we are here to help our clients navigate the complex regulatory landscape. Our firm is focused on risk management and we provide legal guidance and assistance at all stages of an organization's growth and extend our legal services to clients of all types and sizes. Our experience enables us to expertly guide our clients through constantly changing economic, legal, and regulatory challenges. Many of our smaller clients raise capital through the sale of unregistered securities in which we are experts.

BUSINESS FORMATION & GENERAL COUNSEL

We represent entrepreneurs and emerging businesses across all industry sectors. We advise entrepreneurs as they form new businesses and joint ventures, and counsel growing companies through rounds of financings. Companies in financial distress rely on us through restructuring, asset protection, and bankruptcy. Other times we are called upon to provide general corporate, operations, employment, taxation, and intellectual property guidance.

REGULATED FINANCIAL PROFESSIONALS

We advise financial firms on the stringent requirements mandated by overlapping federal, state, and self-regulatory organization rules. We develop compliant supervisory policies and procedures, and advise on record keeping and reporting requirements, net capital compliance, and anti-money laundering requirements. Our firm advises brokerage firms through all phases of FINRA cycle examinations, regulatory inquiries, 8210 requests, and will counsel financial professionals at On-The-Record appearances. Registered investment advisors depend on us to assist them through regulatory audits, reporting requirements, and Wells Letter responses. Additionally, we leverage our decades of experience in FINRA arbitration forums for both customer claims and employment disputes.

MERGERS & ACQUISITIONS

We serve as counsel to hedge funds and private equity  funds, portfolio companies, family offices, and closely held businesses. We work with our clients to structure, evaluate, and implement a merger or acquisition.  We provide regulatory guidance and advise our clients on compliance in state corporation laws and Federal securities laws during the M&A transaction. Our role extends to negotiating the terms of the agreements of the contract, and through the entire process. We also serve as co-transaction counsel where our role is limited to specific parts of a transaction. In this way, we can lend  area specific knowledge and our experience for a limited purpose. It is our primary goal to help our clients reduce risk and achieve their objectives to ensure a successful  transaction.

Contact us to set up a consultation to find out how we can  help you.