Mr. Gluntz represents investment advisors and broker-dealers and their respective representatives and, in connection with such representation, assists these clients in minimizing their SEC and state compliance violations as well as completing all their ongoing SEC and state compliance functions. His representation includes assisting Regulated Investment Advisor clients by, among other tasks, drafting their Compliance and Procedures Manuals and assisting them in properly adopting these procedures (including training the Chief Compliance Officer), as well assisting these clients in implementing a review program for annual internal reviews required by the SEC or state agencies.

During the course of completing M&A deals where broker-dealers were the target, Mr. Gluntz performed significant deal structure “tweaking” in order to transition the target’s business in compliance with FINRA rules and the general regulatory scheme applicable to such target.

With regard to public companies, Mr. Gluntz has been involved with various initial public offerings and shelf offerings of stock, including reverse mergers into public shell companies with a seasoned shareholder base.