About The Practice
Attorney Moroco develops innovative business solutions for companies with domestic and global operations. His business experience enables him to provide strategic counseling to help his clients’ businesses grow. He understands today’s fast-paced business environment and places a high priority on being available for his clients and promptly responding to their legal needs. He represents primarily private companies of all sizes, and across all industry and market sectors. Attorney Moroco provides legal support to his clients’ day-to-day legal needs in the areas of corporate governance, mergers and acquisitions, joint ventures and strategic alliances, complex commercial contracts, distribution agreements, outsourcing arrangements and internal reorganizations. Many of his clients use him as “outside” general counsel, and he takes great pride in being able to support their operations and continued growth and success on a daily basis.
Attorney Moroco provides general employment counseling to his clients so that they can avoid the minefield of issues that lead to the courthouse
Financial Services (Compliance and Counseling)
Attorney Moroco counsels and represent insurance brokers, broker-dealers and accounting firms on compliance, fiduciary, litigation and regulatory issues confronting the financial services industry today. He also counsels private corporations, boards of directors, corporate officers, and investment funds in compliance matters. He has assisted clients in creating and implementing corporate and regulatory compliance programs, including Corporate Code of Conduct and Ethics programs.
He regularly addresses matters arising under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 and counsels independent broker dealers, registered investment advisors and companies on corporate governance matters, obtaining exemptive, no-action and other relief from regulators, negotiating and structuring investments in financial instruments, mergers and acquisitions of financial service advisory firms, and a wide array of other matters.
Attorney Moroco assists investment advisers with registration issues, structuring new services, advisory contracts and other agreements, regulatory compliance procedures and other day-to-day business issues.
Attorney Moroco works regularly with financial services clients in connection with pre-transaction due diligence and risk assessment, regulatory audits, and broker and sales agent disputes.
He has extensive knowledge of the financial services sectors in which his clients operate, giving him valuable insight when evaluating and negotiating claims and other actions.
Matters representative of the Financial Services Practice of Attorney Moroco are as follows:
- Accounting liability
- D&O liability
- Corporate governance
- Corporate control disputes
- Broker disputes
- Financial institution fraud/investigations
- SEC investigations
- Board of directors investigations
- Audit committee representation
- NASD compliance and representation
- Breach of bank loan agreements
- Due diligence and risk assessment