Joan Adler, of counsel to the Firm, specializes in blue sky compliance and broker dealer regulation.
Ms. Adler has worked with public and private companies to ensure compliance initial, secondary and private offerings. Her broker dealer practice runs the gamut from initial through continuing membership and a wide range of compliance issues. In addition, she has formed and advised hedge funds and investment advisors on registration and compliance questions.
Ms. Adler is admitted to practice in the state of New York and is a member of the American Bar Association, Section of Business Law and Nassau County Bar Association.
She received her JD from Washington College of Law at American University where she was a member of the Law Review and her BA in Communications from Queens College.
