Practice Areas

Lehman & Eilen LLP has one of the leading securities regulatory practices in the country, representing over 100 domestic and foreign broker-dealers, more than 50 investment advisers and investment partnerships (hedge funds), and numerous financial planners, commodity futures introducing brokers, advisers and traders.

Our in-depth knowledge of the financial services industry, drawn from many years of representation of securities industry participants, as well as the in-house and regulatory agency service of several of our attorneys, gives us the ability to provide a broad range of services to our clients, including efficient and cost-effective initial SEC and state broker-dealer and investment adviser registrations, FINRA (f/k/a NASD) membership applications, preparation of compliance and supervisory procedures manuals and codes of ethics, and day-to-day compliance advice, including advice in the complex areas of anti-money laundering, net capital compliance, trading and sales practice issues and "soft dollar" research payments.

When securities industry participants are faced with regulatory inquiries and investigations, we stand ready to assist our clients in their response, knowing when to seek a conciliatory result and when to aggressively defend in an adversarial forum.

Related to our work with our investment adviser clients, we also organize hedge funds, prepare the necessary private placement memoranda for their offerings, make the necessary SEC and blue sky filings, and work with their promoters to establish operating procedures.