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U.S. Securities Law Attorneys Advising Clients Worldwide

Every investor or investment professional needs the right combination of industry experience, performance results and business acumen to achieve investment success. Fund managers and corporate issuers, on the other hand, must develop a smart funding plan, as well as ensure compliance with the applicable securities laws and regulations.

At LLOY Law, our securities law attorneys provide nuanced legal advice in a broad range of matters of securities and investment, including SEC regulations and FINRA rules. Our team understands that the role of an experienced securities law attorney is especially vital in a world of rapidly changing markets, complicated government regulations and transformative technology. With that in mind, we have dedicated our careers to providing innovative, customized legal solutions to help our clients achieve their investment goals in a global marketplace.

With offices in Irvine and Los Angeles, California, as well as Edison, New Jersey, our securities law attorneys advise and represent clients from coast to coast and across the globe.

Fintech, Blockchain And Cryptocurrency Counsel

As the law in the area of blockchain technology develops, LLOY Law takes a forward-thinking approach to blockchain-related issues, including those that emerge from smart contracts and cryptocurrencies.

Our fintech and cryptocurrency attorneys help clients develop comprehensive legal strategies to take advantage of the most disruptive technology since the advent of the internet. As with any disruptive technology, blockchain provides amazing opportunities but also raises business, legal and regulatory challenges. LLOY Law is here to provide legal advice in these matters.

Our interdisciplinary blockchain team embraces and is committed to maximizing the transformative potential of this technology. We advise financial technology companies on the unique challenges they face, particularly in matters of anti-money laundering compliance, initial coin offerings, and application of distributed-ledger technology to existing systems.

Sound Legal Counsel Regarding Private Investment Funds And Raising Capital

If you represent a private investment fund or other company raising capital, we can guide you through the various requirements and exemptions, investment adviser regulations, and other matters related to private fund formation and regulation. We know that capital formation and investment activities are, after all, among the most complex areas of U.S. law, and we are here to counsel and guide you toward success in these matters.

Hedge And Private Equity Fund Formation And Compliance

Our securities law attorneys represent a variety of fund managers, including those starting their first hedge funds, experienced fund managers, and large institutions looking to establish funds of funds. We provide advice on management structure, and we assist in forming hedge funds with the appropriate legal structure. Our company structures, jurisdictional choices and regulatory exemptions are crafted to suit the requirements of each fund and its manager.

Investment Adviser Compliance

Our attorneys advise startup and existing investment advisers on the state, SEC, and CFTC requirements to conduct their business in a compliant manner. The regulatory landscape in this area of law is constantly changing, and our knowledge of both state and federal laws proves to be highly valuable for advisers from coast to coast. If you have questions or concerns about investment adviser compliance, do not hesitate to contact us.

Cross-Border Private Capital Formation

Today’s capital markets have globalized, and so have the businesses they finance. Developing efficient capital formation, whether for a seasoned investment fund or for a new startup, requires an international view. Our attorneys are experienced in a broad range of matters for cross-border funding structures, and work closely with a network of offshore counsel and subject-matter specialists to meet the needs of our clients.

Financial Services And Platforms

We believe the development and offering of novel, technology-driven investment platforms and financial services is key to everyone’s future prosperity. At the same time, the regulatory environment, both in the U.S. and elsewhere, is becoming ever more complex to navigate, especially for early-stage companies. We provide comprehensive counseling to clients on how to design and offer novel crowdfunding platforms, “robo-advisory” services, and other platform-based financial products in a way that both complies with the law, and is tailored to the resources and goals of the particular client. We have an extensive network of specialists both here and abroad with whom we work to ensure you have a complete team on your side.