Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with the NFA, CFTC and state regulatory agencies. Our experience is broad and allows us to assist clients with all phases of the structuring, negotiating, and registering of alternative investment endeavors. Our clients include registered entities as well as entities whose practices do not require membership in the NFA or registration with the CFTC.
Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with the SEC, Financial Industry Regulatory Authority (“FINRA”), and state regulatory agencies. Ruddy Gregory also serves as transactional counsel and assists clients with day-to-day business operations in the securities arena.
Our experience in securities law includes work in the following areas:
Ruddy Gregory’s corporate practice counsels business owners in all aspects of their organization of business entities, including appropriate formation of businesses (limited liability companies, limited partnerships, and general partnerships) and counsel on the business and securities laws affecting the organization, governance, and operation of the entity.
Ruddy Gregory represents both growth-oriented companies (and their founders) and private equity firms in early stage financing transactions. Ruddy Gregory offers strategic counsel at each stage of an entrepreneur’s growth, including structuring private funding deals from seed or venture capital sources as well as debt financing. In addition, we provide comprehensive representation to our angel investors, venture capital, and private equity fund clients by assisting with structuring, negotiating and documenting their investments and providing guidance during due diligence investigations of investment opportunities.
Ruddy Gregory represents persons and entities that are involved in the SEC, CFTC, NFA, FINRA and self-regulatory organization inquiries, formal investigations, arbitrations and reparation actions. We represent clients involved in enforcement actions concerning securities disclosure issues, and other areas of investment related actions. Ruddy Gregory also represents corporate directors, officers and other individuals facing investigations and potential litigation.
Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with FinCen, the Consumer Financial Protection Bureau, and state regulatory agencies. Our experience is broad and allows us to assist clients with all phases of the structuring, negotiating, and registering of money service businesses, in addition to meeting ongoing regulatory compliance requirements.
Ruddy Gregory’s real estate practice advises clients in acquisitions and divestitures of commercial real estate, industrial, and agricultural property. Additionally, we provide advice for unique residential transactions requiring advice of counsel.