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 the pay-to-play prohibitions of the SEC and state and local governments.
Mr. LaVigne was the Chair of the Securities Regulation Committee of the New York State Bar Association Business Law Section from 2013 to 2016 and is the First Vice Chair of the Executive 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.
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.