James Alan Harvey

Represent investment advisers, broker dealers, hedge funds, proprietary trading firms and senior management and associated persons of such entities in a host of regulatory and compliance matters. Represent clients before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange, other securities self-regulatory organizations (SROs) and state securities agencies in relation to examinations, inquiries, and regulatory sweeps

Advise companies in raising capital through financial institutions or private placements. Evaluate and structure business entities with a view towards compliance with applicable regulatory schemes. Assist hedge fund sponsors in preparing governing and offering documents, including subscription agreements, private placement memoranda and investment management agreements.

Represent clients in business and legal matters ranging from start-up to continued counseling of businesses on an on-going basis. Assist clients on the formation and structure of the most efficient form of business entity for their purposes, including partnerships, corporations and limited liability companies (LLCs). Draft partnership agreements, shareholder agreements and LLC operating agreements, as well as prepare corporate bylaws and other required documents.

Counsel members of senior management, boards of directors and equity owners on startup, reorganizational and other ongoing business issues, capitalization, liability and other legal and business matters. We also routinely negotiate and prepare employment, compensation and expense sharing agreements.