Cornell Securities Lawyers

I am a Securities Regulation attorney, having worked at the SEC for nearly ten years. My practice is focused on investment adviser and broker-dealer compliance. To that end my practice involves counseling clients on securities -related issues, conducting mock SEC audits, training registered personnel on various issues involving SEC law, responding to SEC and FINRA deficiency letters, investigations and legal actions and handling state securities law matters.

Grant Gulovsen, Esq. has been advising and representing technology startups since late 2017. The work he regularly performs in this role includes the following: • Managing clients’ day-to-day legal operations (e.g., corporate filings, SEC filings, USPTO filings, drafting and negotiating employment agreements, software license agreements, NDAs, etc.) • Handling compliance and regulatory questions/issues as they arise, including communicating with U.S. regulators (and occasionally regulators in other jurisdictions such as the FCA in the U.K. as appropriate); • Managing relationships with outside counsel for issues that are outside his wheelhouse (especially in non-U.S. jurisdictions); and • Constantly researching laws and regulations in the U.S. and...