loader
Page is loading...
OVERVIEW

Broker-Dealer and Investment Advisor Regulation Supply and demand

Barnes & Thornburg's securities and futures regulatory practice involves the representation of broker-dealers, investment advisers, commodity pool operators, commodity trading advisors, hedge fund managers and proprietary trading firms. Our attorneys handle a wide variety of matters for clients across the U.S.

We assist clients with the formation and structuring of their businesses, fund formation, required registrations, ongoing compliance obligations, and applying new and proposed regulations. Clients turn to us for guidance on the acquisition and disposition of their regulated businesses, preparing documentation for derivative transactions and employment-related matters. We also defend clients in connection with regulatory examinations and investigations; enforcement actions filed by regulatory agencies, including the SEC, CFTC, state securities regulators, national securities exchanges and self-regulatory organizations; and in securities related litigation. We also assist our clients protect their intellectual property rights to their proprietary trading strategies and systems.

Practice Leaders

David Hooper

David P. Hooper

Partner
Securities and Capital Markets Chair

Indianapolis

P 317-231-7333

F 317-231-7433

Thomas Maxwell

Thomas M. Maxwell

Partner
Financial Institutions Practice Vice Chair

Indianapolis

P 317-231-7796

F 317-231-7433

EXPERIENCE
PROFESSIONALS

{{resultSet.Title}}

{{resultSet.BioDesignation}}

{{Office.LocationName}}{{', '}}

P {{resultSet.Phone}}

M {{resultSet.Mobile}}

No Results Found

WANT TO GET IN TOUCH?

Contact Us
INSIGHTS & EVENTS
Trending Connect
We use cookies on this site to enhance your user experience. By clicking any link on this page you are giving your consent for us to use cookies.