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

Merger of mutual funds company

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

Investment management advice for United Capital Financial Partners, Inc.

Advised United Capital Financial Partners, Inc., a financial services industry consolidator, on various acquisition and investment management matters. more