Financial Services

Tonkon Torp is a leading provider of comprehensive legal and regulatory implementation for the financial services industry.

Our legal team advises on all types of transactional, operational, and litigation matters for companies across the financial services spectrum. We also help financial services organizations manage all aspects of the continually changing regulatory landscape within their specific niche.

Our counsel includes helping clients with laws and regulations governing the founding, ongoing operations, acquisition and regulation of all types of financial institutions. We offer counsel to investment advisers, broker-dealers, CPAs, banks, non-bank lenders, mortgage lenders, insurance companies, fintech companies, and software vendors. We also advise on the evolving world of cryptocurrency and blockchain activities, and counsel many other companies under the financial services umbrella.

We advise clients on federal and state securities laws, and on the rules and regulations of the SEC, FINRA, various securities exchanges, and state securities regulators. We represent clients in audits and examinations by various regulators and have a deep knowledge on a multitude of regulatory and compliance matters, including the Dodd-Frank Wall Street and Consumer Protection Act.

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 to counsel clients on a variety of transactional and other corporate matters. Our integrated teams provide practical, customized advice that is business-minded and aligned with our client’s overall business goals.

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.

Our 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, transfers of books of business, 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, disclosure, and disputes
  • 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

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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3491, 3559
Partner
Adam
Adkin
503.802.2187
adam.adkin@tonkon.com
Partner
Rachel
Atchison
503.802.5732
rachel.atchison@tonkon.com
Associate
Yalda
Bahramian
503.802.5755
yalda.bahramian@tonkon.com
Associate
Paul
Balmer
503.802.5745
paul.balmer@tonkon.com
Business Paralegal
Karen
Bartley
503.802.2140
karen.bartley@tonkon.com
Associate
Jessica
Bernardini
503.802.2125
jessica.bernardini@tonkon.com
Partner
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
Estate Planning Paralegal
AnDee
Compton
503.802.2183
andee.compton@tonkon.com
3423, 3537
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
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, 3495, 3574, 3491, 3559
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
Immigration Paralegal
Mary
Dynowski
503.802.5701
mary.dynowski@tonkon.com
Immigration Paralegal
Kristen
Erán
503.802.2108
kristen.eran@tonkon.com
3531
Partner
Christopher
Erickson
503.802.2177
chris.erickson@tonkon.com
Associate
Rosalie
Fatta
503.802.2031
rosalie.fatta@tonkon.com
Bankruptcy Paralegal
Spencer
Fisher
503.802.2167
spencer.fisher@tonkon.com
Partner
Michael
Fletcher
503.802.2169
michael.fletcher@tonkon.com
Partner
David
Forman
503.802.2023
david.forman@tonkon.com
Intellectual Property Paralegal
Lisa
Gabel
503.802.2173
lisa.gabel@tonkon.com
3543
Partner
Will
Gent
503.802.5767
will.gent@tonkon.com
Litigation Paralegal
Elizabeth
Goodman
503.802.2103
elizabeth.goodman@tonkon.com
Partner
Stephanie
Grant
503.802.5736
stephanie.grant@tonkon.com
Of Counsel
Kyle
Grant
503.802.2092
kyle.grant@tonkon.com
Partner
Ronald
Greenman
503.802.2006
ron.greenman@tonkon.com
Immigration Paralegal
Gayle
Griffin
503.802.2099
gayle.griffin@tonkon.com
3567
Partner
Gwendolyn
Griffith
503.802.2102
gwen.griffith@tonkon.com
3529
Partner
Drew
Hagedorn
503.802.5757
drew.hagedorn@tonkon.com
Associate
Mick
Harris
503.802.5765
mick.harris@tonkon.com
3535, 3545, 3547
Partner
Caroline
Harris Crowne
503.802.2056
caroline.harris.crowne@tonkon.com
Partner
James
Hein
503.802.2129
james.hein@tonkon.com
Associate
Matt
Heldt
503.802.2135
matt.heldt@tonkon.com
3447
Partner
Ted
Herzog
503.802.2033
ted.herzog@tonkon.com
Partner
Karen
Hobson
503.802.2136
karen.hobson@tonkon.com
Business Paralegal
Samantha
Holly
503.802.2118
sam.holly@tonkon.com
Of Counsel
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
Associate
Samantha
Klausen
503.802.2124
samantha.klausen@tonkon.com
Partner
Blerina
Kotori
503.802.2055
blerina.kotori@tonkon.com
Partner
Melina
LaMorticella
503.802.2122
melina.lamorticella@tonkon.com
Partner
Mark
LeRoux
503.802.2022
mark.leroux@tonkon.com
Associate
Eric
Levine
503.802.2072
eric.levine@tonkon.com
Business & Real Estate Paralegal
Laura
Lindberg
503.802.2128
laura.lindberg@tonkon.com
Estate Planning Paralegal
Alysa
Long
503.802.2086
alysa.long@tonkon.com
3572
Of Counsel
Maureen
McGee
503.802.5726
maureen.mcgee@tonkon.com
3503, 3531
Partner
Parna
Mehrbani
503.802.2170
parna.mehrbani@tonkon.com
3497
Partner
Brenda
Meltebeke
503.802.2088
brenda.meltebeke@tonkon.com
Partner
Michael
Millender
503.802.2164
michael.millender@tonkon.com
Of Counsel
Max
Miller Jr.
503.802.2030
max.miller@tonkon.com
Partner
Christopher
Morehead
503.802.2035
christopher.morehead@tonkon.com
3569
Partner
Jessica
Morgan
503.802.2165
jessica.morgan@tonkon.com
Associate
Gracey
Nagle
503.802.5753
gracey.nagle@tonkon.com
Litigation Paralegal
David
Namdar
503.802.2095
david.namdar@tonkon.com
3572
Partner
Danny
Newman
503.802.2089
danny.newman@tonkon.com
Attorney
Steven
Olson
503.802.2159
steven.olson@tonkon.com
Senior Counsel
Turid
Owren
503.802.2045
turid.owren@tonkon.com
3525, 3414, 3499
Partner
Christopher
Pallanch
503.802.2104
christopher.pallanch@tonkon.com
Partner
Thomas
Palmer
503.802.2018
tom.palmer@tonkon.com
Business Paralegal
Allan
Patterson
503.802.2021
allan.patterson@tonkon.com
Intellectual Property Paralegal
Renee
Peck
503.802.2197
renee.peck@tonkon.com
3509
Partner
Alan
Perkins
503.802.2127
alan.perkins@tonkon.com
3513, 3569
Partner
David
Petersen
503.802.2054
david.petersen@tonkon.com
Of Counsel
Sasha
Petrova
503.802.2130
sasha.petrova@tonkon.com
Case Manager Paralegal
Ellen
Previdelli
503.802.2171
ellen.previdelli@tonkon.com
Business Paralegal
Laney
Quigley
503.802.2017
laney.quigley@tonkon.com
Partner
Megan
Reuther
503.802.2174
megan.reuther@tonkon.com
Case Manager Paralegal
Erika
Robles
503.802.2097
erika.robles@tonkon.com
3521
Partner
John
Rosenfeld
503.802.2010
john.rosenfeld@tonkon.com
Associate
Kate
Roth
503.802.2189
kate.roth@tonkon.com
3462
Partner
Ferdinand
Ruplin
503.802.2029
ferdie.ruplin@tonkon.com
Managing Partner
Kurt
Ruttum
503.802.2043
kurt.ruttum@tonkon.com
Immigration Paralegal
Gabriel
Santos
503.802.2155
gabriel.santos@tonkon.com
Partner
Melany
Savitt
503.802.2179
melany.savitt@tonkon.com
Associate
Zack
Schick
503.802.2065
zack.schick@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, 3555
Partner
Anna
Sortun
503.802.2107
anna.sortun@tonkon.com
3563
Partner
Kimberlee
Stafford
503.802.2062
kimberlee.stafford@tonkon.com
Of Counsel
Darian
Stanford
503.802.2028
darian.stanford@tonkon.com
Litigation Paralegal
Larissa
Stec
503.802.2148
larissa.stec@tonkon.com
Partner
Jon
Stride
503.802.2034
jon.stride@tonkon.com
Associate
Samantha
Taylor
503.802.2042
samantha.taylor@tonkon.com
Partner
Alex
Tinker
503.802.5734
alex.tinker@tonkon.com

Tonkon Torp Achieves Arbitration Win for Global Financial Services Firm

Tonkon Torp partner Haley Morrison and associate Carlie Bacon recently secured a complete victory through arbitration for a New York-based, global financial services firm in the Fortune 100. The client hired Haley several years ago to defend it against claims of discrimination, harassment, retaliation, medical leave interference, equal pay violations, and various torts by a former financial advisor.

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.

FTC Safeguard Rule Compliance

Advised numerous financial institutions in complying with requirements under FTC Safeguards Rule through work that included the drafting and implementation of written information security programs and related policies.

Services + Industries

Services + Industries

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