“There are few kinder, more thoughtful, more generous people out there.”
Stephen F., Securities Lawyer & Entrepreneur, New York City
BROKER-DEALER & RIA - LEGAL AND COMPLIANCE
Can’t decide whether BUYING or BUILDING a broker-dealer is right for you? The answer is inside my free report. Download it here and avoid costly mistakes.
No email required.
Right now, you’re looking for clarity, and accurate, simple solutions to your complex legal and compliance matters. You need someone who can turn the laws and rules governing what you do into working procedures and documents that accurately reflect your specific business. Don’t suffer from “regulation anxiety” by settling for supervisory procedures that are not doable and internal documentation no one understands.
I’m Gregory Levine and I am here to take care of your legal, regulatory and compliance concerns, so you can focus on helping your clients and growing your business. I work with FINRA on a daily basis (not exaggerating) and with state advisor regulators regularly. I always have my ear to the ground.
Whether you need to form a new broker-dealer or investment advisor, require a purchase and sale agreement when buying or selling a broker-dealer or investment advisor, or simply need ongoing compliance support, I can help!
I take a sincere interest in my clients and operate on the belief that we should give all that we know.
“There are few kinder, more thoughtful, more generous people out there.”
Stephen F., Securities Lawyer & Entrepreneur, New York City
“Greg’s reality based approach to [our] business needs is refreshing. He seems to take a personal/authentic interest in his clients’ success. It’s beyond just a paycheck from a continuing relationship. It’s difficult to bottle that.”
John G., CEO/CCO Investment Banking Firm, Denver, Colorado
“[Greg’s] extremely practical legal advice will inform [his clients] on what to do rather than just summarizing what the law says. He works through a problem logically through the eyes of the business, which makes his advice really useful.”
Morgan D., General Counsel, Institutional Broker-Dealer Firm, New York, Germany, Switzerland
“Knowledge is power, yes, but clarity is powerful. In the compliance world clarity is the result of beginning with the simplest solution possible and working in reverse, adding only what must be added in order to become and remain compliant. In other words, you don’t add what is essential, you remove what is not. The concept of ‘less but better’ cannot be overestimated.”
Copyright © 2024 · Attorney Advertising · Privacy Policy