In Brief: A Digest of Investment Management Projects

Client Success

Represented asset management and financial planning firms on the sales of subsidiary firms
Structured and prepared offering documents for numerous private funds and funds of funds with varying strategies, including numerous real estate strategies
Worked with the FINRA and the SEC to structure and register special purpose broker-dealers
Represented a large investment adviser to open-end funds in its sale and restructuring
Represented several closed-end funds in follow-on offerings
Counseled an open-end fund in its sale to another registered fund complex
Represented an investment adviser to a fund complex in numerous multistage restructurings
Assisted numerous advisory and brokerage firms with structuring and registration
Assisted advisers and broker-dealers with SEC, state and FINRA examinations and enforcement actions
Represented a group of in-vitro fertilization (IVF) physicians in connection with an extensive reorganization and $15 million sale of partial ownership interests to a private equity fund
Represented a bank-holding company in $30 million private placement of stock
Defended Big Four accounting firm investigated by the DOJ and the SEC in relation to audits of a failed financial institution
Obtained favorable results for a global supply manager of multinational computer technology company who provided insider information to hedge fund traders through an expert networking firm
Obtained favorable results for a CFO of national bank targeted by SEC for inadequate loan loss reserve disclosures
Represented mutual fund companies and independent directors in Section 36(b)-related litigation
Structured and negotiated financing terms and provided ongoing advice to business development companies
Structured and prepared tax analysis for investments of private equity funds, venture capital funds, real estate funds and offshore funds

In Brief: A Digest of Investment Management Projects

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