Goodwin Procter has announced the continued expansion of its Financial Services Group with the addition of Peter W. LaVigne as a partner in its New York office. LaVigne advises clients on a broad range of broker-dealer issues. He joins the firm from Sullivan & Cromwell.
Mr. LaVigne's expertise spans a variety of broker-dealer issues, including underwriters' compensation, Financial Industry Regulatory Authority (FINRA) issues and business/legal structuring issues on how to compensate brokers, non-brokers and financial advisors in connection with the marketing of various financial products. He provides guidance in the areas of securities and broker-dealer regulation, including the registration of new broker-dealers, mergers and acquisitions involving broker-dealers and ongoing compliance responsibilities of broker-dealers, as well as on FINRA rules concerning corporate financing and underwriter conflicts of interest.
Goodwin Procter's Financial Services Group is one of the nation's largest, and handles a broad spectrum of corporate and regulatory matters, including acquisitions, product structuring, financing transactions and multi-faceted internal reorganizations, on behalf of banks, broker-dealers, investment advisers, insurance companies and other financial institutions. The firm represents many of the largest financial institutions and asset management firms in the world, as well as their investors, domestically and globally. Goodwin Procter attorneys offer clients expertise in all areas of financial service law, and routinely work in cross-disciplinary teams.
Mr. LaVigne serves on the Executive Committee of the New York State Bar Association Business Law Section and is a member of its Securities Regulation Committee. In addition, he is the founding chair and currently a member of the American Bar Association Subcommittee on FINRA Corporate Financing Rules.