Investment & Securities

Experience Highlights

Representation of investment adviser and mutual fund family

Ongoing representation of multi-billion dollar investment manager with specialized focus on 401(k) products; and ongoing representation of related more

Improper trading activity by an investment adviser

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

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

Mutual fund family representation

Providing counsel to the registered investment adviser of a multi-billion dollar real estate investment company and its index mutual fund family. more