Primary Practice Areas

Special Counsel and Investigations

Schlueter & Associates, P.C. frequently represents Chinese and other companies that require lawyers for audit or special committee fraud investigations and other matters. Our lawyers have conducted significant corporate internal investigations, often on a multi-jurisdictional basis. Our extensive experience is a critical resource for companies, officers and directors that are increasingly exposed to a wide range of international investigations and enforcement proceedings. The Firm’s lawyers have extensive experience in practice areas such as financial and accounting fraud, foreign payments and trade, securities investigations, corporate governance and controls and whistleblower claims. The firm specializes in handling cross-border investigations and multi-jurisdictional regulatory enforcement proceedings covering a broad range of industries.

Special investigations often require the service of professionals in related areas such as forensic accounting and electronic document collection. We have strong relationships with professionals in these areas who assist us with investigations.

Schlueter & Associates, P.C. representative experience for Chinese companies conducting special investigations includes:

SEC and FINRA Investigations

Schlueter & Associates offers clients representation in connection with SEC and FINRA formal and informal investigations. We routinely represent companies, officers and directors, investment banks, hedge funds, private equity firms, accounting firms and insurance/investment product companies in SEC enforcement actions and investigations. We take a practical approach, combined with experience and a proven track record to achieve excellent results for clients throughout all phases of enforcement actions and investigations.

Schlueter & Associates, P.C. regularly represents clients in the following areas:

Schlueter & Associates, P.C. representative experience for companies being investigated by the SEC or FINRA includes:

Audit Committee Counseling

Schlueter & Associates, P.C. frequently represents the audit committees of public company boards of directors. Pursuant to Section 301 of the Sarbanes-Oxley Act, audit committees of public companies must have the authority and funding to retain separate advisors, including counsel.

Further, audit committees are responsible for engaging, supervising, monitoring, and terminating the company’s independent auditors. In addition, outside auditors are required to discuss all specific accounting issues with the audit committee and members of the committee must have the opportunity to question the auditors privately, without the presence of management. Audit committees must have procedures in place to permit “hotline” reporting of accounting complaints from employees and outsiders. Audit committees must investigate those complaints, make determinations and take action where appropriate.

Schlueter & Associates, P.C. provides advice and counseling to the audit committees not only on organizational and operational policies and procedures, but also on specific reporting and corporate compliance issues that arise. The Firms’ attorneys have backgrounds in accounting, tax, corporate governance, federal securities and corporate compliance to assist audit committees with the issues they face.

Corporate Governance

In 2002, the Sarbanes Oxley Act was passed changing the corporate governance landscape. It imposed many new requirements and criminal penalties on public companies and their officers and directors for non-compliance. We help our public company clients comply with the Sarbanes Oxley Act by auditing their policies and procedures and advising the board of directors and suggest changes to ensure compliance. These changes include compliance guidelines and programs, CEO/CFO certification, disclosure compliance, trading policies, enhanced protection of whistleblowers, director independence and committee charters (audit, compensation, nominating and corporate governance). Corporate governance issues also encompass relationships with stockholders, executive succession, executive compensation and compliance with stock exchange and state law requirements.

Corporate Finance and Securities

Schlueter & Associates has the knowledge and expertise to advise businesses on sophisticated corporate finance and securities matters. Our extensive experience in matters involving the Securities and Exchange Commission has been gained not only from our experience and interaction with the SEC, but also through our the experiences of our lawyers who previously held positions there. We regularly assist clients of all types and at different stages of growth in accessing financing from the public and private capital markets. Our attorneys have extensive experience in serving as counsel to underwriters, placement agents and issuers in connection with public primary and secondary offerings and private placements of a variety of debt and equity securities. With our extensive knowledge of the Securities Act of 1933 as amended, the Securities Exchange Act of 1934, state "Blue Sky" laws, and the rules of FINRA, we regularly provide advice on disclosure and regulatory matters and assist our clients in all aspects of the preparation and processing of registration statements and ongoing reporting requirements. We have an active broker-dealer practice, advising our broker-dealer clients on a wide range of issues, including the issuance of securities, regulatory investigations, customer inquiries and general brokerage and sales practices.

Schlueter & Associates, P.C. representative experience for its corporate finance and securities practice includes:

Global Markets & Listings

Schlueter & Associates routinely advises international corporations, as well as U.S. companies interested or actively engaged in international business. We have advised private equity funds and entities on cross-border transactions in China as well as for Chinese companies that desire to seek capital and list on stock exchanges in the United States.

Schlueter & Associates, P.C. representative experience for companies engaged in international business and listings includes:

Mergers and Acquisitions

Schlueter & Associates offers its clients comprehensive merger and acquisition services. In these transactions, we provide value-added counsel to all parties – buyers, sellers, controlling shareholders, boards of directors, special committees, lenders and equity participants. Our experience includes various types of merger and acquisition transactions, including negotiated transactions, leveraged buyouts, “going private” transactions, joint ventures and strategic alliances, and tender offers involving public and privately held companies in the United States in Asia and Europe.

Schlueter & Associates, P.C. representative experience for companies engaged in merger and acquisition activity includes:

Private Equity and Investment Funds

Schlueter & Associates has helped clients raise, invest and realize hundreds of millions of dollars. We have provided legal advice for various alternative investments, including private equity funds, hedge funds, real estate funds and distressed funds from both a domestic and international perspective. We establish and represent private U.S. and offshore investment funds. We represent various sponsors and investors with all types of investors and funds, focusing on all stages of investment and all types of industries. We assist our clients in analyzing the complex issues and challenges of the global financial marketplace. We offer a broad array of services including structuring and negotiating the terms of investment funds, evaluating, structuring and negotiating private equity-style investments as well as advising on various regulatory issues associated with these investment structures. We also advise our alternative investment clients on corporate matters relating to insider trading, conflicts of interest, fiduciary duties and other legal issues that arise in the operation of alternative investment funds.

Schlueter & Associates, P.C.’s representative experience for private equity and investment funds includes:

Corporate Law

The corporate practice of Schlueter & Associates includes both national and international clients ranging from emerging growth companies to established businesses. We assist our clients through all phases of their growth and development. We are accustomed to working closely with our clients' management teams in the:


Schlueter & Associates assists clients in cross-border securities offerings, joint ventures, restructurings, divestitures, project financings, leveraged buyouts, capital markets transactions and mergers and acquisitions. Schlueter & Associates lawyers have cross-cultural and bilingual backgrounds coupled with extensive international business experience. We have negotiated and drafted numerous distribution, sales and manufacturing agreements for our international clients. We have helped our clients to cultivate European-American and Asian-American business partnerships leading to new markets for American companies and their products and services throughout the European Union and Asia. We have represented China, Hong Kong, Canadian and German companies in public and private financings, both in the United States and in non-U.S. markets, and with the listing of those company’s securities for trading in the United States securities markets. We have also served as U.S. counsel for clients listed in the U.K on the Alternative Investment Market. Through their extensive experience doing business in Canada, Europe and Asia, our lawyers have valuable affiliations with lawyers and industry leaders throughout China, Hong Kong, Canada, Germany, and other European countries. Schlueter & Associates sponsors an internship program for German law students, thereby expanding its contacts with both European lawyers and law firms. We actively cultivate these associations to increase our ability to serve clients in the area of international trade.

Estate Planning

Schlueter & Associates provides comprehensive representation on estate planning and wealth management matters to families and individuals, including expatriates living abroad, estates and trusts, family offices, closely-held businesses and foundations internationally and in the United States. Our estate planning services include comprehensive planning, preparation and implementation of trusts, wills and other appropriate documents, while balancing our clients’ interest in limiting estate and gift taxes with their overall financial and family needs in the process. We also counsel our clients on many other related wealth planning issues, including wealth management and preservation, fiduciary obligations, trust and estate administration, philanthropic planning, foundation management, business succession planning, marital agreement planning and family office management.

Commercial Debt Collections

Schlueter & Associates offers companies located in China, Hong Kong, and other foreign jurisdictions effective commercial debt collection services. We deliver professional pre-litigation debt collection and when necessary, related litigation services of commercial claims via our law firm and network of collection attorneys throughout the United States.

Our debt collection services include:


Arbitration is an alternative to a court proceeding in which the parties to a dispute submit the dispute to a single arbitrator or a panel of arbitrators to secure a binding decision which may be enforced as through the courts. Henry F. Schlueter serves as an arbitrator for arbitrations administered by the Financial Industry Regulatory Authority (FINRA), and also pursuant to private arrangements with parties to a dispute. In addition to being listed on FINRA’s roster of Public arbitrators, Mr. Schlueter is a Fellow of the Chartered Institute of Arbitrators, the world’s preeminent certifying / qualifying authority for international arbitrators.


Mediation differs from arbitration in that the parties mandate a dispute resolution professional to assist them in a neutral manner to reach a mutually agreed resolution of their dispute without going through a full court case or arbitration. A Mediators does not decide disputes; but instead facilitate the parties’ effort to reach a result that both can accept.

Mr. Schlueter is an independent mediator, and provides mediation services on an as needed basis. Mr. Schlueter’s many years of experience as a transactional business attorney provide him with a basis to see realistic business solutions to business disputes. Mr. Schlueter mediates only business matters or disputes.

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