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Building a leader among small law firms in financial services


In troubled times, many financial services companies are finding it hard to focus on boosting their business, while dedicating time and resources to complying with legal requirements.

In troubled times, many financial services companies are finding it hard to focus on boosting their business, while dedicating time and resources to complying with legal requirements. Hedge funds, for example, would rather focus on what they do best – seek alpha, and leave the legal and compliance requirements to other, experienced firms.

Hedge funds and to a lesser extent, private equity funds, have dramatically proliferated over the past 10 years. Given the growth of the industry and recent market events, impending regulatory reform is prompting hedge funds and financial services companies to rethink their legal strategy and representation. Although there are many law firms servicing the financial services industry, only a handful of those firms stand out.

One law firm that has been constantly hitting the news of late is Sadis & Goldberg LLP. Sadis & Goldberg, established in 1997, is internationally recognized for its financial services practice and represents over 600 hedge funds, private equity funds and fund of funds in the United States and abroad. The company was recently ranked fifth in Alpha Magazine in the Top Onshore Law Firms category for 2008. The firm provides a wide range of legal services to those clients, including compliance, regulatory defense, tax planning, civil litigation, labor and corporate formation and restructuring. The firm’s extensive experience in representing the financial community provides it significant economies of scale and the background to respond to most legal issues without time-consuming or costly research and analysis. By regularly monitoring state and federal regulatory developments, the company keeps its clients well advised.

Sadis & Goldberg Partner Ron S. Geffner, who oversees the Financial Services Group and is a former enforcement attorney with the U.S. Securities and Exchange Commission, is a familiar face on Fox Business News, CNBC and Bloomberg. Geffner’s broad background with federal and state securities laws and the rules and regulations of the National Association of Security Dealers, Commodities Futures Trading Commission and various other regulatory bodies, enables him to provide strategic guidance to a variety of clientele. ‘Our success can be attributed to the expertise and hard work of all the members of our firm,’ says Geffner.

An additional attribute of Sadis & Goldberg is its very diverse business portfolio. The firm’s clients include domestic corporations and financial institutions, venture capital and buyout funds, and corporations and entities that conduct commercial and financial activities. Geffner notes:"We have a very diversified portfolio of clients that operate in a number of different industries, including manufacturing, communications, consumer and luxury products, hospital management, information processing, insurance, investment banking, textiles, new media, software, wireless, brokerage, hedge funds and venture capital."

Geffner regularly structures, organizes and counsels investment entities, including hedge funds, private equity funds and venture capital funds in connection with regulatory investigations and actions. ‘Given all the turbulence in the financial services industry and the upcoming regulatory changes being mandated from Washington, the firm will adapt and continue to be responsive to the needs of our clients.  I would describe Sadis and Goldberg like a football team -young and fast-paced and constantly changing our plays to win in the game…,’ adds Geffner.



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