A&O Shearman

Mergers & Acquisitions

Of Counsel

Charles has extensive experience in representing clients engaged in the brokerage and investment advisory business and, in particular, in the formation and continued counseling of US brokers who are affiliated with foreign financial institutions. He has participated in the formation of numerous brokerage and investment advisor firms, and is responsible for the representation of the firm’s underwriting clients under the rules of the Financial Industry Regulatory Authority (FINRA) and the state securities laws. Charles frequently practices before the Securities and Exchange Commission, FINRA and the New York Stock Exchange, Inc. He is an authority on the rules of FINRA and the laws and rules of the states of the United States as they relate to the distribution of securities.