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Peter LaVigne is a member of the Firm s Financial Institutions Group and head of the FINRA/Blue Sky practice group, which provides advice and makes required filings with respect to state securities laws and the rules of Finra (formerly known as the NASD) concerning corporate financing and underwriter conflicts of interest. Mr. LaVigne also advises clients generally in the areas of securities and broker-dealer regulation, including the registration of new broker-dealers, mergers and acquisitions involving broker-dealers and ongoing compliance responsibilities of broker-dealers. He recently advised CICC US Securities, Inc., a subsidiary of China International Capital Corporation, in registering as the first U.S. broker-dealer with its principal office in Hong Kong. Mr. LaVigne is a member of the Executive Committee of the New York State Bar Association Business Law Section and a member of that Section s Securities Regulation Committee. He was the founder and first chair of the American Bar Association Subcommittee on NASD Corporate Financing Rules and continues to be a member of that Subcommittee as well as the Committee on State Regulation of Securities. He regularly appears as a speaker in New York State Bar Association continuing legal education programs on private offerings under SEC Regulation D and the treatment of finders and other intermediaries as broker-dealers under the federal securities laws. The name LaVigne is pronounced "la VING." | 