Welcome to Carr Butterfield, LLP

At Carr Butterfield, LLP, we offer a full range of legal services to financial advisors and business professionals nationwide, including business formation and transitions; robust compliance assistance, encompassing mock and actual exams and audits; employment issues, including break-away brokers; and litigation avoidance or trial work, as needed to reach the goals of our business owner clients.
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Our firm's practice is driven by the goal of delivering customized legal and business planning advice, in the most efficient and valuable manner to satisfy  our clients’ needs.

REGULATORY & COMPLIANCE 

• Initial consultations to address foundational issues and concerns 
• Assist with SEC and state registrations; electronically file & amend form ADV with the SEC and appropriate state securities regulators
• Negotiate with the SEC and state examiners to cure filing deficiencies
• Prepare U-4 and U-5 forms for all investment advisor representatives 
• ​​Draft investment advisory agreements, financial planning agreements, business consulting agreements, privacy statements, and compliance manuals, all which have survived SEC scrutiny
• Advice regarding compliance and best practices with ethics and professional conduct rules

EMPLOYMENT & INSURANCE CLAIMS

• Analysis of current employment / independent contractor agreements
• Employment law claims
• Business torts
• ​Directors' and officers' liability
• Errors & Omissions
• Defense of professional licenses of attorneys, accountants, physicians, and other regulated professionals

ETHICS DEFENSE

• Defense of Attorney discipline, licensing, and litigation
• Advice regarding compliance and best practices with ethics and professional conduct rules
• Outside audit of conflicts procedures​

LITIGATION AND AUDIT 

• Defense of SEC enforcement referral actions
• Advocacy services during SEC and state audits
• Responses to SEC and state based deficiency letters
• ​Vigorous litigation defense
• Litigation avoidance and risk assessment​
• In-person mock compliance audits catered to the needs of the client followed by a detailed written report​​

BUSINESS & CORPORATE LEGAL SOLUTIONS

• Entity formation and maintenance
• Corporate law
• Buy-sell agreements
• Strategic planning
• Mergers and acquisitions
• Employment law - best practices
• Intellectual property (IP) portfolio review
• Trademark registration and litigation
• Risk assessment and litigation avoidance
• Real estate sale and purchase
• Lease review and negotiation

503-635-5244
6650 SW Redwood Lane, Suite 220
​Portland, OR ​​97224

WHAT WE DO

CARR BUTTERFIELD, LLP 

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Disclaimer

NO ATTORNEY-CLIENT RELATIONSHIP OR CONFIDENTIALITY 
 A visit to our website, or an inquiry from this site to one of our attorneys or staff members, does not create an attorney-client relationship between you and Carr Butterfield, LLP or any of its attorneys. Please do not send any confidential information about a legal matter until after you have spoken with one of our attorneys and received instructions about what information to provide. A conflict of interest determination must be made before any attorney-client relationship is formed.

​RESOURCES  
This website offers information concerning legal issues and developments. This information is for general informational purposes only, and should not be considered legal advice or a legal opinion on any specific facts or circumstances. You should contact your attorney for legal advice tailored to your individual circumstances. While every effort is made to maintain the accuracy of the information on this website, the information is not guaranteed to be complete or to represent the latest legal developments.

​JURISDICTIONS  
Our attorneys practice law only in their respective licensed jurisdictions.
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LINKS  
This website offers links to websites owned and controlled by other parties.
We are not responsible for their content, operation, links or transmissions.