Peter LaVigne is a partner in Goodwin’s Financial Industry and Fintech practices. He advises clients involved in the distribution of securities as issuer or intermediary at every level, public and private, and his expertise includes broker-dealer and securities regulation and the Municipal Advisor Rules. Mr. LaVigne advises banks, broker-dealers, investment advisers, private fund managers and crowdfunding and other financial technology platforms in navigating evolving regulatory and compliance matters. As the Chair of the Business Law Section of the New York State Bar Association and a member and former Chair of its Securities Regulation Committee, Mr. LaVigne keeps a close watch over changes to laws and rules affecting the financial services industry.





Mr. LaVigne's experience includes the registration of new broker-dealers, as well as advice concerning exemptions from registration, mergers and acquisitions involving broker-dealers and the rules of FINRA concerning change in control filings. He represents underwriters and placement agents with respect to FINRA rules applicable to public and private offerings, including rules governing new issues, IPO allocations and research analysts, trade reporting, Regulation M, Rule NMS and the short sale rules. He has also counseled broker-dealer firms in responding to examinations, inquiries and Wells notices. He advises issuers on the use of securities exemptions and assists them in structuring agreements with placement agents and arrangements with third-party brokers permitting the registration of issuer employees on an independent contractor basis.

Mr. LaVigne also advises banks, investment advisers and private fund managers, as well as broker-dealers, concerning the evolving municipal advisor registration requirements and helps fintech innovators to identify and navigate the financial regulations that apply to their businesses.

Professional Activities

Mr. LaVigne is the Chair of the Executive Committee of the New York State Bar Association Business Law Section and from 2013 to 2016 was Chair of the Securities Regulation Committee of that Section. He was the founder and first chair of the American Bar Association Subcommittee on FINRA Corporate Financing Rules and remains a member of that subcommittee.

Professional Experience

Prior to joining Goodwin in 2010, Mr. LaVigne was Special Counsel at Sullivan & Cromwell, where he was a member of the Financial Institutions Group. Mr. LaVigne served as Assistant Attorney General in the New York State Attorney General's Office, where he was Chief of the Real Estate Syndication Section.

In The News









J.D., 1978
Yale Law School
A.B., 1975
Cornell University



New York
Profile Image
Get In Touch
Our clients rely on us for world-class advisory services, counsel on complex transactional work and high-stakes litigation. Specializing in matters involving the financial, life sciences, private equity, real estate, and technology industries, we use a collaborative, cross-disciplinary approach to resolve our clients’ most challenging issues. To find out more, please contact us.


Nos équipes interviennent aux côtés de nos clients, industriels, fonds d’investissement, startups, institutions financières et dirigeants, dans le cadre de transactions et de contentieux complexes, et apportent des conseils de tout premier plan dans les secteurs financiers, des Sciences de la Vie, du Private Equity, de l’immobilier et des technologies. Nous traitons les dossiers juridiques de manière intègre, ingénieuse, souple et audacieuse pour répondre efficacement aux enjeux propres à chacun de nos clients, quels que soient la taille de l’opération et le secteur d’activité. Pour en savoir plus, contactez-nous.

Unsere Kunden verlassen sich auf unsere erstklassige Beratung, vor allem im Hinblick auf komplexe Transaktionen und High-Stakes-Prozesse. Spezialisiert auf Angelegenheiten der Finanz-, Life-Sciences-, Private-Equity-, Immobilien-und Technologie-Branchen, verwenden wir einen kooperativen und interdisziplinären Ansatz, um Fragen unserer Kunden auch in extremen Spezialsituationen einer Lösung zuzuführen. Sie wollen mehr erfahren? Kontaktieren Sie uns gerne.

Search Other Lawyers
Recherche par Pratique