Philip Colton Email & Phone Number

My practice focuses on assisting clients with securities issues and capital formation. Because I have more than 25 years of experience in representing companies in a variety of business issues, I also often act as outside general counsel to public and private business organizations. My experience includes many disciplines such as venture capital, corporate finance, mergers and acquisitions, general corporate, employment, financing and general business matters. I also represent a number of securities broker dealers and financial institutions in a variety of matters, such as registered and private offerings, FINRA matters, SEC compliance, customer complaints and disputes, broker registration, compliance matters and bank regulatory matters. As a former general counsel to a large securities firm, I also have significant experience with clearing matters, FINRA and state regulatory matters, SIPC and the net capital rule.Specialties: Securities, Corporate Finance, Mergers and Acquisitions, SEC and FINRA Compliance, Investment Company and Advisers Act Regulation, Securities Disputes

Listed skills include Mergers And Acquisitions, Securities, Venture Capital, Corporate Governance, and 20 others.