Financial Services & Investment Management

Tonkon Torp is a leading provider of comprehensive legal services for institutions and professionals in the financial services industry.

We offer counsel and litigation support for investment advisers, broker-dealers, and collective investment vehicles (private funds) exempt from registration under the Investment Company Act of 1940. We advise clients on federal and state securities laws, and on the rules and regulations of the SEC, FINRA, various securities exchanges, and securities regulators. We also represent clients in audits and examinations by various regulators.

In advising our clients, our legal team draws on the combined strength of our firm’s expertise in corporate finance, ERISA mergers and acquisitions, real estate and land use, taxation, labor and employment, intellectual property, estate planning, arbitration, and litigation.

Investment Advisers and Broker-Dealers

We help investment advisers and broker-dealers navigate regulatory and compliance obligations at all phases of their business. Our attorneys also help unregistered advisory firms address the availability and scope of exemptions from registration.

Tonkon Torp services for investment advisers and broker-dealers include:

  • Planning, structuring, organizing, and reorganizing investment advisers and broker-dealers
  • Advice on SEC, FINRA, and state regulatory authority examinations, audits, and enforcement actions
  • Compliance with federal and state securities laws, including registration or compliance with available exemptions from registration
  • Advisory, subadvisory, and brokerage agreements
  • ERISA matters
  • Tax and succession planning
  • Mergers and acquisitions, including sales, acquisitions, and spin-offs
  • Compliance programs and compliance manuals, including codes of ethics and insider trading restrictions
  • Employee licensing requirements
  • Form ADV disclosure reporting
  • Form U4/U5 filings and disclosure
  • Executive compensation issues, including employment, non-compete, and nonsolicitation agreements
  • Marketing agreements, including selling agreements and solicitation agreements
  • Product development
  • Advertising and sales literature reviews
  • Governance issues
  • Litigation and arbitration, including shareholder and client disputes

Private Investment Funds

Our attorneys advise funds and their managers on a broad scope of legal and compliance issues. We advise clients on the structure, organization, and offering of private investment funds, including private equity funds, hedge funds, real estate funds, and funds of funds.

We provide a full range of legal services to our private investment fund clients, including:

  • Fund structure, formation, and documentation
  • Securities regulatory and compliance matters relating to fundraising and ongoing operational compliance
  • Tax and ERISA analyses
  • Federal and state laws and regulations
  • Marketing material review
  • Investor negotiations, including side letters and coinvestment structures
  • Contracts with service providers
  • Manager structure
  • Fund transactions, including portfolio loans and investments, acquisitions, dispositions, coinvestments, debt, and portfolio company representation

Litigation

When insurance firms and brokerage disputes arise in this area, clients turn to our Financial Services Litigation team.

Our representative matters include:

  • Representing a local investment management firm in a dispute with a Los Angeles-based finance company concerning a structured finance transaction. The opponent sought more than $20 million in compensatory damages plus additional punitive damages, alleging fraud and breach of contract. We not only successfully defended against those claims, but won more than $1.8 million for our client for related counterclaims
  • Defending in arbitration a local, family-owned securities brokerage against claims of unauthorized and unsuitable trading
  • Resolving a FINRA-initiated complaint against a local broker-dealer accused of violating rules regarding publication of research reports and trading during blackout periods
  • Resolving state regulators’ claims of violations against managers of an investment fund related to exemptions from registration and investor accreditation
  • Pursuing claims for churning, unsuitability, and failure to supervise against a national brokerage firm
  • Defending investigations and responding to subpoenas from regulatory agencies and third-parties, including on behalf of individual directors and executives, as well as financial services firms

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Services + Industries

Services + Industries

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Partner
Adam
Adkin
503.802.2187
adam.adkin@tonkon.com
Partner
Rachel
Atchison
503.802.5732
rachel.atchison@tonkon.com
Associate
Carlie
Bacon
503.802.2190
carlie.bacon@tonkon.com
Associate
Paul
Balmer
503.802.5745
paul.balmer@tonkon.com
Partner
Eric
Beach
503.802.2182
eric.beach@tonkon.com
Associate
Lauren
Bernton
503.802.2144
lauren.bernton@tonkon.com
Partner
Owen
Blank
503.802.2011
owen.blank@tonkon.com
3499, 3523
Partner
Ryan
Bledsoe
503.802.2120
ryan.bledsoe@tonkon.com
Partner
Jeff
Bradford
503.802.5724
jeff.bradford@tonkon.com
3505
Partner
Kristin
Bremer Moore
503.802.2154
kristin.bremer@tonkon.com
3561
Partner
Claire
Brown
503.802.5731
claire.brown@tonkon.com
Partner
Bob
Carey
503.802.2032
bob.carey@tonkon.com
3423, 3537, 3572
Partner
Paul
Conable
503.802.2188
paul.conable@tonkon.com
Associate
Sadie
Concepción
503.802.5773
sadie.concepcion@tonkon.com
3493
Partner
Timothy
Conway
503.802.2027
tim.conway@tonkon.com
3491, 3559
Partner
Sherrill
Corbett
503.802.2049
sherrill.corbett@tonkon.com
Associate
Timothy
Costello
503.802.2193
timothy.costello@tonkon.com
Partner
Clay
Creps
503.802.2059
clay.creps@tonkon.com
3501, 3569, 3495, 3574
Partner
Jeffrey
Cronn
503.802.2048
jeff.cronn@tonkon.com
Partner
Rocky
Dallum
503.802.2175
rocky.dallum@tonkon.com
Associate
Sam
DeBaltzo
503.802.5772
sam.debaltzo@tonkon.com
Partner
Justin
Denton
503.802.2117
justin.denton@tonkon.com
3531
Partner
Christopher
Erickson
503.802.2177
chris.erickson@tonkon.com
Partner
Michael
Fletcher
503.802.2169
michael.fletcher@tonkon.com
Partner
David
Forman
503.802.2023
david.forman@tonkon.com
3462
Of Counsel
Danica
Foster
503.802.2160
danica.foster@tonkon.com
3543
Associate
Will
Gent
503.802.5767
will.gent@tonkon.com
Associate
Stephanie
Grant
503.802.5736
stephanie.grant@tonkon.com
Partner
Ronald
Greenman
503.802.2006
ron.greenman@tonkon.com
3567
Partner
Gwendolyn
Griffith
503.802.2102
gwen.griffith@tonkon.com
3572, 3529
Partner
Drew
Hagedorn
503.802.5757
drew.hagedorn@tonkon.com
Associate
Olivia
Hariharan Godt
503.802.2158
olivia.godt@tonkon.com
Associate
Mick
Harris
503.802.5765
mick.harris@tonkon.com
3535
Partner
Caroline
Harris Crowne
503.802.2056
caroline.harris.crowne@tonkon.com
Partner
James
Hein
503.802.2129
james.hein@tonkon.com
3447
Partner
Ted
Herzog
503.802.2033
ted.herzog@tonkon.com
Partner
Karen
Hobson
503.802.2136
karen.hobson@tonkon.com
Associate
Jarell
Hunt
503.802.5776
jarell.hunt@tonkon.com
Associate
Josie
Jeremiah
503.802.2146
josie.jeremiah@tonkon.com
Associate
Jordan
Jeter
503.802.2076
jordan.jeter@tonkon.com
Partner
Jeffrey
Keeney
503.802.2025
jeff.keeney@tonkon.com
3493
Partner
Albert
Kennedy
503.802.2013
al.kennedy@tonkon.com
Partner
Blerina
Kotori
503.802.2055
blerina.kotori@tonkon.com
Associate
Antonija
Krizanac
503.802.2038
antonija.krizanac@tonkon.com
Partner
Melina
LaMorticella
503.802.2122
melina.lamorticella@tonkon.com
Partner
Mark
LeRoux
503.802.2022
mark.leroux@tonkon.com
Of Counsel
Maureen
McGee
503.802.5726
maureen.mcgee@tonkon.com
Associate
Harlan
Mechling
503.802.5733
harlan.mechling@tonkon.com
3503
Partner
Parna
Mehrbani
503.802.2170
parna.mehrbani@tonkon.com
3497
Partner
Brenda
Meltebeke
503.802.2088
brenda.meltebeke@tonkon.com
3569
Partner
Michael
Millender
503.802.2164
michael.millender@tonkon.com
Partner
Max
Miller Jr.
503.802.2030
max.miller@tonkon.com
Partner
Christopher
Morehead
503.802.2035
christopher.morehead@tonkon.com
3525
Partner
Jessica
Morgan
503.802.2165
jessica.morgan@tonkon.com
Partner
Haley
Morrison
503.802.2121
haley.morrison@tonkon.com
Associate
Gracey
Nagle
503.802.5753
gracey.nagle@tonkon.com
3519
Senior Counsel
Janet
Neuman
503.802.5722
janet.neuman@tonkon.com
Associate
Danny
Newman
503.802.2089
danny.newman@tonkon.com
3511
Senior Counsel
Darcy
Norville
503.802.2036
darcy.norville@tonkon.com
Attorney
Steven
Olson
503.802.2159
steven.olson@tonkon.com
Partner
Turid
Owren
503.802.2045
turid.owren@tonkon.com
3525
Partner
Christopher
Pallanch
503.802.2104
christopher.pallanch@tonkon.com
Partner
Thomas
Palmer
503.802.2018
tom.palmer@tonkon.com
3509
Partner
Alan
Perkins
503.802.2127
alan.perkins@tonkon.com
3563, 3513
Partner
David
Petersen
503.802.2054
david.petersen@tonkon.com
Associate
Megan
Reuther
503.802.2174
megan.reuther@tonkon.com
3521
Partner
John
Rosenfeld
503.802.2010
john.rosenfeld@tonkon.com
Associate
Kate
Roth
503.802.2189
kate.roth@tonkon.com
Associate
Ferdinand
Ruplin
503.802.2029
ferdie.ruplin@tonkon.com
Managing Partner
Kurt
Ruttum
503.802.2043
kurt.ruttum@tonkon.com
Partner
Melany
Savitt
503.802.2179
melany.savitt@tonkon.com
Partner
Drea
Schmidt
503.802.5703
drea.schmidt@tonkon.com
Partner
Ava
Schoen
503.802.2143
ava.schoen@tonkon.com
3515
Partner
Jeanette
Schuster
503.802.2114
jeanette.schuster@tonkon.com
Of Counsel
Leon
Simson
503.802.2067
leon.simson@tonkon.com
3423, 3553
Partner
Dan
Skerritt
503.802.2024
dan.skerritt@tonkon.com
Partner
Josh
Smith
503.802.2191
josh.smith@tonkon.com
3574, 3545, 3547, 3555
Partner
Anna
Sortun
503.802.2107
anna.sortun@tonkon.com
Partner
Kimberlee
Stafford
503.802.2062
kimberlee.stafford@tonkon.com
Of Counsel
Darian
Stanford
503.802.2028
darian.stanford@tonkon.com
Partner
Jon
Stride
503.802.2034
jon.stride@tonkon.com
Associate
Samantha
Taylor
503.802.2042
samantha.taylor@tonkon.com
3462
Partner
Alex
Tinker
503.802.5734
alex.tinker@tonkon.com
Partner
Joseph
Voboril
503.802.2009
joe.voboril@tonkon.com
Associate
Alexandria
Wagner-Jakubiak
503.802.5748
alexandria.wagner@tonkon.com
Partner
Frank
Weiss
503.802.2051
frank.weiss@tonkon.com
3503, 3539, 3541, 3545, 3547, 3551
Partner
Steven
Wilker
503.802.2040
steven.wilker@tonkon.com
Partner
Michael
Willes
503.802.5737
michael.willes@tonkon.com
3491, 3559
Partner
Jeffrey
Woodcox
503.802.2039
jeffrey.woodcox@tonkon.com
Associate
Timothy
Wright
503.802.2052
timothy.wright@tonkon.com
Partner
Zachary
Wright
503.802.2041
zach.wright@tonkon.com

Tonkon Concludes Multi-State, Multi-Party M&A Transaction

Tonkon Torp represented a national financial services provider in a multi-step M&A transaction that repositioned payment stream portfolios and resulted in the acquisition of operating offices. This detailed and linear sequence was completed in six weeks with negotiations involving multiple parties.

Representative Matters

Acquisition of Registered Investment Advisor Business

Represented a private investment group in an acquisition of advisory assets of a Washington investment advisory business. Acquired assets were then merged into a third party advisor in exchange for a controlling interest in the advisory business.

Services + Industries

Services + Industries

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We encourage you to contact us if you have further questions about our firm or our experience. For your protection, we cannot represent you until we know that doing so will not create a conflict of interest. Accordingly, please do not send us any confidential or secret information about any matter that may involve you until you receive a written statement from us that we represent you (an engagement letter).

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