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Creative Solutions.
Cost-Effective Results.

Building innovative solutions to
the most complex legal matters.

Who We Are

Leading Securities Law Attorneys

We are internationally recognized securities attorneys with a global reach, representing broker-dealers, industry professionals, investors and other market participants in connection with their regulatory, transactional and litigation needs throughout the US and abroad. Our attorneys are veteran securities practitioners familiar with the nuances of this highly-regulated industry and are ready to provide cost-effective and creative solutions to help you achieve your goals with speed and efficiency.

Opportunity Zone Fund Resource Center

Kalberer LLP attorneys help guide fund managers, developers, investors, businesses and other real estate participants in Opportunity Zone investments and projects. Our veteran securities attorneys structure qualified Opportunity Zone Funds, prepare fund documentation and assist clients with compliance and fund management under the Tax Cuts and Jobs Act, and in accordance with federal and state securities law.

What We Do

Building cost-effective solutions to the most complex legal matters.
We’re continuously innovating to provide cutting-edge counsel to protect your business and your reputation.

Private Equity
Fundraising & Compliance

  • Fund Formation
  • Private Offering Documents
  • Broker and Finder Compensation
  • Digital Currency & Blockchain Technology

Securities Litigation

  • International Securities Fraud Disputes
  • Shareholder Derivative Actions
  • Class Actions
  • Whistleblower Claims

FINRA Arbitration

  • Employment Disputes
  • Customer Complaints
  • Industry Disputes

FINRA Regulatory &
Expungement Proceedings

  • CRD Expungements
  • Enforcement & Disciplinary Actions
  • Broker Transitions

News & Alerts

FINRA Releases 2019 Risk Monitoring and Examination Priorities Letter

FINRA Releases 2019 Risk Monitoring and Examination Priorities Letter

On January 22, 2019, FINRA released its 2019 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas…

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Senior Investor Exploitation on the Rise: FINRA Taking Action

Senior Investor Exploitation on the Rise: FINRA Taking Action

With the aging of the U.S. population, financial exploitation of seniors is a serious and growing problem. Each day for the next…

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Securities-Backed Lines of Credit: Using Your Investment Portfolio as Collateral

Securities-Backed Lines of Credit: Using Your Investment Portfolio as Collateral

An increasing number of securities firms are marketing and offering securities-backed lines of credit, or SBLOCs, to investors.  SBLOCs can be a…

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