Legal Services for Registered Investment Advisers, Hedge Funds, Broker-Dealers and Other Financial Service Providers
Why Choose Page Perry?
Page Perry, an Atlanta based law firm, built its reputation representing investors victimized by the fraudulent and unethical business practices of bad brokers and brokerage firms. Some of our attorneys also spent many years working as securities regulators -- examining firms, hearing and ruling on customer complaints, and bringing regulatory actions in court. We also employ special consultants with direct experience in the industry. We therefore know the financial services industry from the inside and the outside.
It is precisely because of our experience and reputation as being pro-investor that reputable and honest investment advisers and brokers began seeking our advice. Some of the best-known brokerage firms and investment advisers in the United States have selected us to represent them and to serve as special advisers. As these firms know, the skills and specialized knowledge our lawyers and other professionals developed representing harmed investors and serving as regulators and regulatory counsel are the same ones necessary to advise and build a compliance-oriented, client-first financial services firm and to represent firms against charges of wrongdoing.
We can help you put or keep your house in order to prevent or minimize regulatory action and customer complaints. If you are thinking of starting a new investment firm or fund, we can get you established. We can help you contract with associates, vendors, solicitors, partners, and others to maximize efficiency and assure compliance. If you are the subject of regulatory scrutiny or a customer complaint, we are uniquely positioned to, forcefully and sincerely, advocate the position that you have at all times put your clients first.
You have to be a particular kind of adviser to want to work with us: one that takes its obligations to its clients seriously and wants to do everything possible to improve compliance and customer service.
Who We Are:
Page Perry represents investment advisers, broker-dealers, pooled investment vehicles, registered representatives and others with respect to matters involving business formation, compliance, contracts, and all of the many other legal challenges faced by firms and persons in the investment services arena.
The financial services industry is one of the most stringently regulated areas of business in the United States, and sweeping changes of recent months -- including the Dodd Frank Act and regulations adopted pursuant to that Act -- have made compliance more difficult. Companies and individuals participating in the financial services industry are subject to various overlapping and cumulative federal and state laws and to regulation by the United States Securities and Exchange Commission, securities commissioners of all states in which they conduct business and, for securities brokers and representatives, the Financial Industry Regulatory Authority (FINRA). Only constant, competent and dedicated legal advice and representation can prevent financial services industry participants from running afoul of this complex legal and regulatory structure.
Page Perry regularly advises its clients with respect to issues including formation, regulation, reporting, advertising, supervision, and policies and procedures. Additionally, Page Perry has assisted clients in negotiation of asset purchase, stock purchase, and merger agreements. Federal or state regulations are implicated in a wide variety of situations that arise in the normal course of business. It is important to have experienced counsel to deal with such issues.
If questions or accusations of non-compliance are levied by regulatory authorities, aggrieved investors or law enforcement authorities, it is essential that regulatory counsel be engaged immediately.
Page Perry attorneys have extensive experience in the securities regulatory arena. They have served as regulators and attorneys for regulators. They have represented companies and individuals in investigations and proceedings brought by the SEC, NASD (now FINRA) and many state securities regulators. Page Perry brings to securities regulatory matters knowledge, experience and dedication to representing their clients in this area. We are qualified and prepared to assist securities industry participants to avoid regulatory problems and to help them resolve any securities regulatory issues that might arise.
Page Perry In the News
- Investment Adviser Formation, Regulation and Compliance
- Broker-Dealer Formation, Regulation and Compliance
- Financial Services / Securities Litigation and Arbitration
- Hedge Funds Formation, Regulation and Compliance
- Private Placements and Offerings
- Financial Professional Employment Law and Regulation
- General Corporate Law
- Financial Services Arbitration/Litigation