Connecticut Securities Lawyers

I have been respresenting investors for more than 30 years in Court, Arbitration, and through alternative dispute resolution fora. I have offices in Connecticut and Florida, and pride myself in having user friendly fees, and being prudent about the virtues of jurisprudence!

I work with companies, nonprofits, healthcare entities, and individuals to help them with their business and regulatory needs. I form companies, prepare owner agreements, create form agreements for clients to use in their businesses, draft and review contracts with vendors, employers and customers, and provide general legal counselling. I also provide transactional legal services for commercial loans, mergers and acquisitions, and other transactions. Working with business owners is a real pleasure for me; I enjoy being part of the team that helps these companies succeed. I also help investment advisers with compliance, formation and general business law issues.

J. Alexander Bates is the founder and managing partner of The Bates Law Firm. His practice involves representing clients in immigration law matters. He is currently licensed in New York.

At the Bates Law Firm we are dedicated to helping you achieve your goals. Please call us a +1 (203) 252-7374 or visit our web site: http://www.bateslegal.com.

www.KBLpc.com.

• Pragmatic interpretation, drafting, negotiation, clarification and explanation to management, execution, & closing of all contractual matters. • Negotiation and design of employment agreements, stock option, stock appreciation rights, & termination settlement arrangements. • Initiation, monitoring & management of long-term sourcing arrangements in multiple supply-chain and vendor environments (China, England, Mexico & Canada). • Entity formations & structures inclusive of tax & corporate governance in accordance with constituent objectives. • Analysis, creation & drafting of covenant structures in high-yield debt & commercial loan agreements. • Leveraged buyouts utilizing equity, high yield/bank debt sourced publicly/privately. • Exhaustive familiarity with 33/34 Act, Reg. A & “mini-IPO” provisions. • Drafting,...

I handle a wide variety of transactional corporate and securities law matters for institutional and individual investors, investment funds and their managers, as well as for public and private operating companies. My practice focuses on hedge fund, private equity, venture capital fund formation and operational issues, and illiquid investment transactions, with particular emphasis on advising private domestic and offshore capital pools and their stakeholders. I also advise investment advisers, fund managers, and operating companies on state, federal, and international compliance and enforcement considerations. My investor clients include individuals on the Fortune 400, family offices, ERISA-regulated investors, funds of funds, and...

WE REPRESENT CLIENTS IN THE FIELDS OF INVESTMENT FRAUD AND BUSINESS LAW. OVER THE PAST 25 YEARS, WE HAVE RECOVERED MILLIONS OF DOLLARS FOR OUR CLIENTS THROUGHOUT THE NORTHEAST. Andrew C. Cote, LLC is a boutique law firm representing individuals, families, securities professionals and businesses in securities fraud and business law. Andrew Cote's experience may be unique combining eighteen years as a securities, corporate and business attorney with a further nine years as a Registered Investment Adviser and Senior Executive in a brokerage firm. He has an invaluable insider knowledge of the securities industry - experience not offered...

Joshua B. Kons has a breadth of experience in securities litigation and FINRA arbitration proceedings, having or represented hundreds of investors who have suffered significant losses at the hands of their financial advisor, brokerage firm or investment advisor. Mr. Kons also has a depth of experience in the securities industry.

Prior to attending law school, he worked as a mutual fund trader where he learned the securities business from the ground up. After receiving his law degree, Mr. Kons worked as an in-house attorney for a multinational, Fortune 500 corporation where he was responsible for corporate and commercial transactional matters.

Prior to...