My name is Max Schatzow and I am an attorney with the law firm of Stark & Stark in Lawrenceville, New Jersey. When we first saw the press release issued by Governor Murphy back in September announcing his intentions, we knew that we wanted to participate in this process, because the Investment Management practice group at Stark & Stark represents numerous broker-dealers and countless investment advisers registered with the United States Securities and Exchange Commission and the New Jersey Bureau of Securities on regulatory and compliance matters.
Our clients are extremely varied and range from those providing investment advice to private investment funds and registered investment companies to retail individuals. However, our most common client is an individual or group of individuals who have broken away from a larger financial institution, such as Morgan Stanley or Merrill Lynch to start their own boutique investment advisory firm. We then help those firms address their legal and compliance needs and serve as outside counsel and compliance officers as they grow their business.