Partner

Mark F. Costley is a partner in the firm's nationally ranked Investment Management Practice Group focusing his practice on the representation of financial services companies on matters relating to the development and offering of investment products and services, as well as venture capital investors.  Mark has over 20 years of experience in the financial services industry.

Mark represents a wide variety of broker-dealers and investment advisers in all aspects of their businesses.  He has extensive experience advising clients on all aspects of the distribution of securities including structuring the various programs through which securities are offered.  Mark has represented these clients in connection with regulatory investigations and enforcement proceedings and has acted as lead lawyer in negotiating acquisitions and advising clients regarding the regulatory requirements related to these transactions.

Mark also represents clients in connection with investments in early-stage companies.  He has negotiated and closed over 50 early-stage investments (equity and debt) and has negotiated the sale of early-stage companies to both public and privately-held acquirers. 

 Representative Matters:

• Counsel to one of the largest financial services companies in the nation regarding its industry-leading investment advisory programs;
• Lead counsel on a supervisory/compliance review for the board of directors of a large, publicly-traded, broker-dealer and investment adviser; and 
• Counsel to the nation’s largest independent broker-dealer for its acquisitions of a broker-dealer, investment adviser and mortgage broker.