Located in downtown New York City, the practice specializes in financial services, investments and business. Attorney Rob Moses provides real world, common-sense counsel and consultation that helps navigate business, legal, compliance, regulatory, supervisory, enforcement and personnel matters. Rob represents broker-dealers, registered investment advisors, financial services professionals, private funds, investors and startup businesses, bringing to bear broad industry experience and an understanding of the fundamentals of financial services, investments and business in general, with a focus on the following practice areas:
- Registered Investment Advisors (RIAs)
- Broker-Dealers (BDs)
- Financial Advisors (RRs and IARs)
- Investments
- Contracts
- Private Funds
- Transactions
- Business Successions
- Labor and Employment
- Written Policies and Procedures
- Business Startups
- Investment Due Diligence
- Vendor Due Diligence
- Regulatory Matters (SEC, FINRA, States and others)
- Litigation/Dispute Resolution
- Transitions
- Expert Witness
Please click on a link above for more information about a practice area.
