Biography
Audra Fredrick is a Senior Associate in Lehman & Eilen’s broker-dealer, investment adviser, municipal adviser and commercial transaction practice areas. She has been associated with the firm since 2006.
In the regulatory area, Audra is experienced in the preparation and filing of new membership and continuing membership applications with FINRA. Among other things, Audra advises clients on the development and drafting of their written supervisory policies and procedures, preparation of business continuity plans, expense sharing agreements, administrative services agreements, registered representative agreements and subordinated loan agreements. She also provides advice to clients on compliance and operational issues, book and recordkeeping responsibilities, and continuing education requirements.
In the transactional area, Audra works with clients to form and establish new businesses, including drafting of the entities’ underlying operative documents, such as operating agreements and partnership agreements, as well as to prepare transactional documents, such as purchase and sale agreements and merger agreements. She also assists clients with due diligence in connection with their transactions.
In addition, Audra counsels clients in examinations, investigations and enforcement actions by regulatory and self-regulatory organizations. Audra represents the firm’s broker-dealer clients before regulators, including the SEC, FINRA and state regulators, and in litigation and arbitrations. In connection therewith, Audra has been thoroughly involved in the area of electronic discovery (eDiscovery), review and production of documents, including various forms of electronic correspondence.