Erik N Frias

I serve as General Counsel to many small and midsized businesses. in that capacity, I advise businesses in any number of industries on a wide variety of issues, particularly governance, employment, financing, contractual matters, transactions and dispute resolution.

I advise regulated entities (broker/dealers, investment advisers and self-regulatory organizations) on compliance with the federal securities laws and navigating the various regulatory processes.

Small or large, I work with clients who are involved in M&A activity, either on the sell side or the buy side. Expertise includes diligence, analysis, negotiation and drafting.

I represent entities and individuals who get caught up in the enforcement mechanism of the Securities and Exchange Commission, other state or federal regulatory agencies, or criminal authorities. Representative clients include hedge funds, broker/dealers, corporate officers, and traders. Subject matters include trading issues, disclosure issues or more technical matters.