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The Federal Trade Commission (FTC) has updated the requirements of the Standards for Safeguarding Customer Information, known as the Safeguards...
If approved, the contracts will settle based on which political party controls the House and Senate. The CFTC is taking...
The CFTC’s Division of Clearing and Risk issued a staff advisory on review of risks associated with expansion of DCO...
Our Practice Areas
Venture Capital & Private Equity Law
Ruddy Gregory represents both growth-oriented companies (and their founders) and private equity firms in early-stage financing transactions. Ruddy Gregory offers strategic counsel at each stage of an entrepreneur’s growth, including structuring private funding deals from seed or venture capital sources as well as debt financings. In addition, we provide comprehensive representation to our angel investors, venture capital, and private equity fund clients by assisting with structuring, negotiating, and documenting their investments and providing guidance during due diligence investigations of investment opportunities.
Securities
Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with the SEC, Financial Industry Regulatory Authority (“FINRA”), and state regulatory agencies. Ruddy Gregory also serves as transactional counsel and assists clients with day-to-day business operations in the securities arena.
Real Estate
Ruddy Gregory’s real estate practice advises clients in acquisitions and divestitures of commercial real estate as well as industrial and agricultural property. Additionally, we provide advice for unique residential transactions requiring advice of counsel.
Litigation
Ruddy Gregory represents persons and entities that are involved in the SEC, CFTC, NFA, FINRA and self-regulatory organization inquiries, formal investigations, arbitrations and reparation actions. We represent clients involved in enforcement actions concerning securities disclosure issues, and other areas of investment related actions. Ruddy Gregory also represents corporate directors, officers and other individuals facing investigations and potential litigation.
Government & Regulatory Affairs
Ruddy Gregory counsels’ clients on developing effective lobbying strategies to address business issues relating to the complex legislative and regulatory processes at the federal level, especially in the financial services sector. With broad, comprehensive experience in, and knowledge of, both the political climate and regulatory landscape, Ruddy Gregory can provide advice on strategy and advocacy tactics that will ensure the best and most appropriate line of communication is opened for clients with the relevant policy makers.
Digital Assets/Fintech
Ruddy Gregory assists FinTech companies and others in navigating the complex, developing regulatory environment that encompasses digital assets, block chain technology and other transformative technology in the financial services industry. Our attorneys have significant experience in all facets of the digital asset markets and as well as years of practice before the CFTC, the SEC, and the federal banking agencies.
Corporate Law
Ruddy Gregory’s corporate practice counsels’ business owners in all aspects of their organization of business entities, including appropriate formation of businesses (limited liability companies, limited partnerships, and general partnerships) and counsel on the business and securities laws affecting the organization, governance, and operation of the entity.
Congressional Investigations
Ruddy Gregory represents clients subject to congressional investigations through providing clear, accurate, experienced counsel that helps maneuver the client through the congressional investigatory processes while tactfully avoiding the fragile public relations, political, business and legal issues frequently existent in such proceedings.
Commodities
Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with the NFA, CFTC and state regulatory agencies.
Our experience is broad and allows us to assist clients with all phases of the structuring, negotiating, and registering of alternative investment endeavors. Our clients include registered entities as well as entities whose practices do not require membership in the NFA or registration with the CFTC.
Boutique law firm specialized in the investment community
About Ruddy Gregory, PLLC
Ruddy Gregory, PLLC (“Ruddy Gregory”) is a boutique law firm with offices in Washington, DC and Denver, CO. Ruddy Gregory provides niche oriented advice with the highest quality of service to its core client base of privately held corporations and smaller brokerage and advisory firms. The firm provides specialized legal guidance and counsel to clients on matters relating to entity formation, digital assets and FinTech, mergers and acquisitions, real property transactions, and other general corporate transactions.
Ruddy Gregory also provides legal advice to registered investment advisers, commodity futures registrants (IBs, FCMs, CPOs, and CTAs), hedge funds and other members of the alternative investment community. Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with the National Futures Association (“NFA”), Commodity Futures Trading Commission (“CFTC”), Securities and Exchange Commission (“SEC”), Federal Energy Regulatory Commission (“FERC”), as well as other federal and state regulatory agencies. We have proudly offered these services since our inception in 2001. At the same time, the practice serves as legal counsel to futures commission merchants, larger investment firms, entrepreneurs from diverse industries, private equity funds, and venture capitalists. Ruddy Gregory also offers related business litigation services, including representation throughout civil and criminal proceedings and regulatory investigations.
Powerful network
ABL serves as an efficient conduit through wich clients can leverage Ruddy Gregory’s relationships and thereby access a robust and capable network of lawyers globally.
Mark Ruddy, Ruddy Gregory Law Firm’s Managing Partner, has been ABL’s president for the past 4 years, being responsabile for the Alliance’s Business Development.
A well-reputed
global alliance
Alliance of Business Lawyers
Ruddy Gregory is a member of the Alliance of Business Lawyers (ABL), a network of international law firms with over 900 lawyers and offices in 34 countries.
Patrick McCarty
Of Counsel
Patrick McCarty is Of Counsel to Ruddy Gregory, PLLC, in the Washington, DC office. Mr. McCarty is a seasoned financial services attorney with 35 years experience in banking, securities and commodities law.
Greg Smith
Of Counsel
Greg Smith is Of Counsel to Ruddy Gregory, PLLC and a litigator in the Washington, DC office. Mr. Smith may be the only lawyer in America who has worked in the White House Counsel’s Office, argued and won a case before the U.S. Supreme Court, and been elected by his peers as president of major bar associations in two separate U.S. cities. His current practice focuses on civil and criminal litigation, including representation of companies and executives in corporate investigations. In over thirty years as a litigator, Mr. Smith has served as lead counsel in dozens of state and federal jury trials, and has orally argued over 50 cases in various appellate courts.
Nikhil Cheerharan
Associate Attorney
Nikhil Cheerharan is an Associate Attorney at Ruddy Gregory, PLLC, in the Washington, D.C. office. Prior to Joining Ruddy Gregory, Mr. Cheerharan was an Associate Attorney for a Regional Firm in Baltimore, Maryland where his practice involved employment, labor, and workers’ compensation litigation. Prior to the Baltimore firm, and following law school, Mr. Cheerharan was an Associate Attorney for a Regional Firm in St. Louis, Missouri where his practice focused mostly on litigation in the fields of general liability, product and premise liability, and transportation.
Antonina (Nina) Mangiola
Associate Attorney
Antonina (Nina) Mangiola is an Associate Attorney at Ruddy Gregory, PLLC, in the Washington, D.C. office. Prior to joining Ruddy Gregory and following law school, Ms. Mangiola was selected as a Dean Acheson Legal Stagiaire to clerk for a judge at the European Union Court of Justice in Luxembourg.
Jessen Gregory
Corporate and Commercial Real Estate Attorney
Jessen Gregory is a Corporate and Commercial Real Estate Attorney at Ruddy Gregory, PLLC, in the Denver, CO office, and has been a member of the Colorado legal community since 2007. Her practice has focused on complex business transactions including asset-based senior secured financings, acquisitions, entity formations, real property transactions, private equity, venture capital investing, and general corporate transactions.
James Gregory
Attorney
James Gregory is an Attorney at Ruddy Gregory, PLLC, in the Denver, CO office, and has been practicing law for over forty years. Mr. Gregory has been a member of the Washington D.C. legal community since 1990. His practice has focused on complex business matters including mergers, acquisitions, tax, private equity and general corporate transactions.
Mark Ruddy
Attorney
Mark Ruddy is a Securities and Commodities Attorney at Ruddy Gregory, PLLC, in the Washington, DC office, representing registered investment advisers, currency dealers, commodity futures registrants (including FCMS, CPOs, and CTAS), hedge funds, and other members of the financial community. His experience in the alternative investments industry spans over twenty-five years. Prior to becoming a consultant and attorney in private practice Mr. Ruddy worked for an SEC registered investment adviser and operator of several private investment partnerships, where he completed financial reporting and Whandled compliance matters. He also has experience as a former compliance examiner with the NFA.
