Investment & Securities

Experience Highlights

Defense of an investment adviser in various investment-related suits

Represented an investment adviser against a securities custodian and broker-dealer arising out of the theft of customer funds in an action alleging a more

Improper trading activity by an investment adviser

Represented financial institution and investment adviser in alleged improper trading activity by a portfolio manager. more

Representing investment manager in structuring investment vehicles

Representing and advising a $1 billion investment manager in structuring privately-offered domestic and offshore investment vehicles. more

Merger of mutual funds company

Represented $100 million mutual fund family and registered investment adviser with merger. more