FacultyFaculty/Author Profile
Peter W. LaVigne

Peter W. LaVigne

Goodwin Procter LLP

New York, NY, USA

Peter LaVigne is a partner at Goodwin Procter LLP in the firm’s Financial Institutions Group.    Mr. LaVigne advises clients in connection with securities distributions, including private offerings exempt under Rule 506(b) and (c) of Regulation D.  He represents investment banks and issuers in public offerings with respect to Regulation M and the rules of FINRA concerning corporate financing and underwriter conflicts of interest. He also advises clients concerning broker-dealer regulation, including the registration of new broker-dealers, mergers and acquisitions involving broker-dealers and ongoing compliance responsibilities of broker-dealers. Mr. LaVigne has a growing practice representing financial technology companies offering online  services and platforms in or adjacent to regulated areas, and 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. Mr. LaVigne is Chair of the Securities Regulation Committee and Secretary of the Business Law Section of the New York State Bar Association, and was the founder and first chair of the American Bar Association Subcommittee on FINRA Corporate Financing Rules.


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