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Peter LaVigne is a partner in the firm’s Business Law Department and a member of its Financial Services Group. He practices primarily in the area of broker-dealer and securities regulation. Mr. LaVigne joined Goodwin Procter in 2010.

Mr. LaVigne advises clients in the areas of federal and state securities and broker-dealer regulation, including the registration of new broker-dealers, mergers and acquisitions involving broker-dealers and ongoing compliance responsibilities of broker-dealers. He also represents clients with respect to the rules of FINRA concerning corporate financing and underwriter conflicts of interest.

Mr. LaVigne’s experience includes broker-dealer change in control filings, the rules governing fixed price offerings, 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.

Mr. LaVigne 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.

Prior to joining Goodwin Procter, 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.


Professional Activities

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

Media

Mr. LaVigne regularly appears before New York State Bar Association continuing legal education programs, speaking on private offerings under SEC Regulation D and the treatment of finders and other intermediaries as broker-dealers under the federal securities laws. He also writes for a variety of publications on new rulemaking by the SEC and FINRA and other regulatory developments.

Know Your Customer Inquiries and Suitability Determinations Under the Updated FINRA Rules
The Review of Securities & Commodities Regulation
November 20, 2013

SEC Adopts Final Amendments to Broker-Dealers Rules
The Harvard Law School Forum on Corporate Governance and Financial Regulation
August 27, 2013

Strengthening The Nation's Banks
New York Law Journal
January 10, 2011