Legal Services


Mission Critical Services handles entity formation, regulatory enforcement and litigation support. Clients choose us because of our experience, integrity, unsurpassed level of service, and desire to outperform.

Entity Formation

We provide advice to clients seeking to develop businesses through pooled investment vehicles, managed account structures, as well as investment adviser and broker-dealer set-up. We represent organizations pursuing strategies across a wide spectrum of financial instruments, asset classes and business activities. Our team processes licensing and registration filings, and also assists with entity formation documents, contracts, private placement memoranda and subscription agreements. Our entity formation services are designed to be comprehensive providing businesses with an end-to-end startup solution.

Regulatory Enforcement

Mission Critical has extensive experience handling enforcement matters. We represent clients in the full range of proceedings initiated by the SEC, FINRA, NYSE, CFTC, NFA, State and other government agencies and self-regulatory organizations, from informal inquiries and formal investigations to administrative proceedings and judicial enforcement actions. We can also assist organizations and individuals in parallel criminal investigations or proceedings initiated by the Federal Bureau of Investigation, United States Attorneys or State Attorneys General.

Litigation Support

Although we do not provide legal advice or opinions, we do help clients identify, document and address other evidentiary needs along with the development of relevant questions for depositions and interrogatories. Whether the dispute involves breach of contract, lost profits or other claims or damages resulting from fraudulent financial reporting, we help clients evaluate the evidence so that an appropriate assessment of damages and other causes of action can be made. Throughout the damages phase, we work to provide clients and their counsel with the objective facts and insights which allow them to develop sound settlement and other appropriate strategies.