Despo Law Group is dedicated to serving full range of clients with their corporate and business needs. Our core capabilities include commercial contracting, corporate finance and securities, corporate governance, emerging growth companies, venture capital transactions, privately held businesses, mergers and acquisitions, cybersecurity, technology and joint venture transactions.
We have had experience representing entrepreneurs and emerging private companies through the complex regulatory landscape for capital markets transactions, corporate governance matters and compliance with securities law compliance. Some of the areas that we can assist you include:
• Corporate Governance
• Private Equity Financing
• Hedge Fund formation
• Employment Agreements
• Shareholder Agreements
• Commercial Transactions
• Licensing Agreements
• Crowd Funding
• Limited Liability Company formation and Corporations
• Limited Partnership formation
• Best Practices Review
• Federal & State Securities Law Compliance
• NYSE/NASDAQ Listing
Despo Law Group extensive background in securities law offers a full range of services for the business or individuals involved in securities transactions and in the securities industry. The firm counsels’ start-up companies seeking equity and debt financing to the seasoned public company’s reporting and obligations. We have assisted broker-dealers, registered representations, investment advisors and other securities professionals regarding compliance, registration, reporting, SEC and FINRA investigation along with defending enforcement actions.
We have conducted internal investigations on behalf of investment advisors and broker dealers, and appear before the SEC, FINRA and other regulatory bodies. We are also prepared to represent you before the Grand Jury and the U.S. Attorney investigations.
We have experience with derivatives and swaps including SEF registration procedures with the Commodities Futures Trading Commission that include bit coins.
A part of our securities practice deals with securities customer arbitrations in which we appear on behalf of broker-dealers, registered representations, executive and others. Bill Despo is an experienced litigator before FINRA and also serves on FINRA National Panel of Arbitrators. He has also been an arbitrator on the New York Stock Exchange and NASD Panel of Arbitrators.
Some of the areas that we assist clients involved on securities law include:
• Regulation D offerings
• Crowd Funding
• State Registration
• Helping broker-dealers comply with regulatory filing and record keeping requirement
• Assisting with regulatory examinations and audits
• Advising broker-dealers on new rule making and recent regulatory interpretations affecting their business
• FINRA regulatory compliance
• DOL Fiduciary Duty
• Supervision Compliance
• Responding to investigations by the SEC, FINRA and state agencies
• Advising on new developments regarding industry rules and regulations
• Counseling on trading, capital markets, net capital and research issues (both equities and debt)
• Advising on product sales (variable annuities, equity index annuities, mutual fund shares, etc.)
• Advising on employment-related issues such as registered representative hiring and firing
• Advising on disclosure requirements
• Advising on potential conflicts of interests
• Advising on registration requirements, compensation, soft dollars and reporting requirements
• SEC Custody Rule
Derivatives & Swap
• Advising on Dodd Frank compliance
• SEF registration & Market Regulation
Enforcement, Investigations and Litigation
• Defense of investigations and enforcement actions
• Internal Investigations
• White-collar criminal defense
Despo Law Group offers a complete range of legal service in the real estate law area, including the buying and selling of commercial and residential properties, property management transactions, financing and development. We can assist you in reviewing your title insurance policies, advise you concerning construction defects and law use issues. We can also assist condominium associations with regards to governance issues and insurance coverage questions.
Despo Law Group Mergers & Acquisitions practice strives to facilitate a smooth transition in the buying, selling, merger or consolidation, and restructuring of business. We represent both buyers and sellers in all aspects of the transaction including structuring the transaction, performing due diligence, assisting with financing relationships, negotiating and drafting transaction documents. We can assist you with the following types of transactions:
• Business restructuring
• Asset Sales and Purchases
• Spin Offs
• Due Diligence
• Sales of Business
William Despo is a seasoned litigator with 40 years of experience successfully representing clients at the trial level, appellate court, governmental administrative proceedings, and arbitration. Bill has appeared in state and federal courts throughout the country. He commenced his career as an enforcement lawyer at the American Stock Exchange investigating and bringing enforcement actions against AMEX members, brokers and others for violations federal securities laws and exchange rules. Since then, he has represented businesses and individuals in numerous types of cases. He as represented one of the largest consumer products marketing companies in the country in a bet-the-company case that spanned 6 years defending actions throughout the country. Bill employs the same desire, creativeness and approaches to all his clients. He has represented the full spectrum of industries including real estate, financial institutions, technology, construction, investment advisers, broker dealers, pharmaceutical and film. The issues were all diverse such as employee raiding cases, foreign corrupt practices, fiduciary claims, breach of contract, enforcement of employee non-compete, securities claims, estate litigation, broker dealer customer claims, shareholder disputes and many other issues.
Bill is admitted in all courts of New Jersey since 1976. He is also admitted to the U.S. Tax Court, the U.S. District Court for the Southern District of New York, U. S. Court of Appeals for the Third, Ninth, Eleventh, Federal Circuit, and District of Columbia. He has been appointed an arbitrator for FINRA and the National Futures Association. Bill has represented numerous parties in arbitrations before FINRA, JAMS, and AAA.
Bill remains very active with the New Jersey State Association (“NJSBA”) and the Monmouth Bar Association. He is the NJBSA Chair of the Securities Committee and a member of Business Law Section and Class Action Committee. He has moderated and been a panelist on numerous Continuing Legal Education programs including shareholder disputes, mortgage crisis, financial fraud, class actions, and legal ethics. He is a member the MBA Professionalism Committee, and a panelist for the annual MBA Professionalism Day. Bill has organized and moderated CLE programs for NJSBA’s Annual Meetings in which representatives from the U.S. Attorney’s Office, SEC Enforcement Division, N.J. Bureau of Securities and FINRA participated as panelist. Bill is also a member of the Professional Liability Underwrites Society and had presented a program on potential conflicts of interest between the insured and insurer. He is a member of the American Bar Association.
We carefully listen to our clients knowing that each client is unique. Our goal is to advise our clients with the development of a solution for their respective goals that concerns the preservation, management and transfer of wealth to their heirs and others. Factors such as taxes, testamentary desires, elder care issues, disability, and children are taken into consideration with the development of an Estate and Business Succession Plans. The following Estate and Trust services are provided to our clients:
• Wills for all stages of life
• Estate and Gift Tax planning
• Probate avoidance
• Trust for minor children, incapacitated and unsophisticated persons
• Irrevocable Trusts
• Revocable Trusts
• Education Trusts
• Charitable Trust
• Grantor Retained Annuity Trusts
Life Planning & Elder Care
• Powers of Attorney
• Health Care Proxies
• Living Wills
• Special Needs
Business Succession Planning
• Buy-Sell Agreements
• Employee Stock Option Plans
• Younger Generation Transfer
In addition, disputes between family members happen and we are ready to represent your estate on fiduciary matters including breach of fiduciary duty, will contests, construction of Wills and contested accounting.