Alexander S. Lagotta

Associate Attorney

Location: San Diego, California
Phone: (619) 696-9500 (Ext. 114)
Direct: (619) 501-4768
Fax: (800) 868-9350
Email[email protected]

AREAS OF PRACTICE

  • Representation of Investment Advisers, Registered Persons & Broker-Dealers
  • SEC, FINRA, and State Regulatory Examinations and Investigations
  • Registered Investment Adviser and Broker-Dealer Formation
  • Transitioning Financial and Investment Advisers, Promissory Notes
  • Form U4 and Form U5 Matters
  • Corporate & Securities Transactions
  • Regulatory Compliance Program Development and Advice
  • Mergers & Acquisitions
  • Succession Planning
  • Private Fund Formation
  • Business Entity Formation, Employment Agreements, Partnership Documents
  • Financial Services Law

Alexander Lagotta 

Alexander “Alex” Lagotta is an Associate Attorney in the firm’s San Diego office. Before joining the Firm, Alex was in-house counsel for LPL Financial LLC, a Fortune 500 Company and dually registered broker-dealer and investment adviser. At LPL, Alex oversaw U4 and U5 issues for LPL-affiliated advisors and drafting and negotiation of various contracts, including employment, service, and asset purchase and sale agreements, amongst others. He also advised LPL on various compliance issues and programs to ensure the firm was up to date on regulatory and compliance concerns.  

Before LPL, Alex was a Senior Investigative Attorney at FINRA, the Financial Industry Regulatory Authority empowered by the Securities and Exchange Commission with supervision of broker-dealer firms and associated persons. At FINRA, Alex identified, monitored, and analyzed possible violations of FINRA Rules and federal securities laws. He also researched and prepared enforcement memorandums concerning potential securities law violations that were later referred to the SEC, state, or federal law enforcement for further action.

Alex’s experience as counsel for FINRA and one of the country’s largest independent broker-dealers/investment advisory firms, provided him a unique perspective that benefits the Firm’s clients. At the Firm, Alex focuses on providing strategic and comprehensive legal advice and counsel to investment advisers, broker-dealers, private funds, and other financial professionals, including, but not limited to, contract drafting, asset purchase and sale agreements, client disclosure documents, including ADV and other mandatory forms, solicitation and marketing activities, succession planning, and state and federal regulatory investigations and examinations.

Alex attended the University of California, Irvine (“UCI”), where he majored in Political Science and minored in Sociology. While attending UCI, he was a two-year NCAA Division I soccer letterman. Alex later played professional soccer for the remainder of his college years until he attended law school. Alex received his J.D. from George Washington University Law School, where he was the Online Editor for the school’s Business & Finance Law Review.

Outside of his work for the firm, Alex enjoys watching and playing soccer and surfing his favorite breaks in San Diego.

Education

  • The George Washington University School of Law, Washington, DC
    • J.D., 2019
  • University of California, Irvine, Irvine, California 
    • B.A, Political Science, 2015

Bar Admissions

  • California

 

Honors & Awards