Ongoing
Non-U.S. Institutional Investors - Interest Acquisition
Representation of non-U.S. institutional investors in acquisitions of significant interests in U.S. based broker-dealers and investment managers.
Non-U.S. Institutional Investors - Interest Acquisition
Representation of non-U.S. institutional investors in acquisitions of significant interests in U.S. based broker-dealers and investment managers.
2012
Plainfield Asset Management - Hawkeye Renewables
Representation of Plainfield Asset Management in the sale of an interest in Hawkeye Renewables, an ethanol producer that specializes in ethanol and dried distiller grains.
Plainfield Asset Management - Hawkeye Renewables
Representation of Plainfield Asset Management in the sale of an interest in Hawkeye Renewables, an ethanol producer that specializes in ethanol and dried distiller grains.
2012
Boutique Investment Bank - Formation
Representation of boutique investment bank in its formation and organization of partnership; equity capital raise and registration as a Broker Dealer as well as across a spectrum of portfolio investments.
Boutique Investment Bank - Formation
Representation of boutique investment bank in its formation and organization of partnership; equity capital raise and registration as a Broker Dealer as well as across a spectrum of portfolio investments.
2012
Investment Advisor - Regulatory Advice
Representation of multi-billion dollar registered investment adviser in in connection with its re-evaluation of regulatory compliance mechanisms to accommodate investment advisory clients subject to ERISA.
Investment Advisor - Regulatory Advice
Representation of multi-billion dollar registered investment adviser in in connection with its re-evaluation of regulatory compliance mechanisms to accommodate investment advisory clients subject to ERISA.
2012
Investment Advisor -NYC Pension Agreements
Representation of multi-billion dollar registered investment adviser in the negotiation of investment management agreements with New York City pension plans.
Investment Advisor -NYC Pension Agreements
Representation of multi-billion dollar registered investment adviser in the negotiation of investment management agreements with New York City pension plans.
2012
Investment Advisor - Investment Management Agreements
Representation of multi-billion dollar registered investment adviser in the negotiation of investment management agreements with major public telecommunications company.
Investment Advisor - Investment Management Agreements
Representation of multi-billion dollar registered investment adviser in the negotiation of investment management agreements with major public telecommunications company.
2012
Asset Manager - CFTC Registration
Representation of asset management division of leading international financial institution in CFTC and NFA registration and related regulatory matters.
Asset Manager - CFTC Registration
Representation of asset management division of leading international financial institution in CFTC and NFA registration and related regulatory matters.
2012
Foreign Investment Advisor - US Securities Advice
Advice to German based investment advisor with respect to U.S. securities regulations.
Foreign Investment Advisor - US Securities Advice
Advice to German based investment advisor with respect to U.S. securities regulations.
2012
Investment Manager - Fund Liquidation
Representation of investment manager in fund liquidation; including the sale of ownership stakes and position in portfolio companies.
Investment Manager - Fund Liquidation
Representation of investment manager in fund liquidation; including the sale of ownership stakes and position in portfolio companies.
2012
Representation of Investment Advisor
Represent the investment adviser with regulatory assets under management of approximately $1 billion in connection with investment adviser act issues including filing of an amendment to its Form ADV.
Representation of Investment Advisor
Represent the investment adviser with regulatory assets under management of approximately $1 billion in connection with investment adviser act issues including filing of an amendment to its Form ADV.
Ongoing
Asset Management Company - Investment Suitability
Representation of investment advisory company in defense of action by former client with respect to investment losses.
Asset Management Company - Investment Suitability
Representation of investment advisory company in defense of action by former client with respect to investment losses.
2012
MEAG Munich - Regulatory Advice
Representation of MEAG Munich, the European-based investment advisory arm of Munich Re, in connection with regulatory advice regarding traders under the U.S. Securities Exchange Act.
MEAG Munich - Regulatory Advice
Representation of MEAG Munich, the European-based investment advisory arm of Munich Re, in connection with regulatory advice regarding traders under the U.S. Securities Exchange Act.
Ongoing
Collateral Manager - Collateralized Debt Obligation Restructurings
Representation of a collateral manager in connection with a series of restructurings of collateralized debt obligation entities relating to changes in portfolio structure and to redemptions of classes of CDO Notes.
Collateral Manager - Collateralized Debt Obligation Restructurings
Representation of a collateral manager in connection with a series of restructurings of collateralized debt obligation entities relating to changes in portfolio structure and to redemptions of classes of CDO Notes.
Ongoing
Registration of Real Estate Fund Managers
Comprehensive regulatory advice to a platform of real estate advisory entities with respect to registration obligations and related compliance issues under the new Dodd-Frank requirements for investment advisers.
Registration of Real Estate Fund Managers
Comprehensive regulatory advice to a platform of real estate advisory entities with respect to registration obligations and related compliance issues under the new Dodd-Frank requirements for investment advisers.
2011
Hildene Capital Management—Hedge Fund
Representation of Hildene Capital Management, a hedge fund manager whose fund we helped to launch, in registering as an investment adviser with the SEC.
Hildene Capital Management—Hedge Fund
Representation of Hildene Capital Management, a hedge fund manager whose fund we helped to launch, in registering as an investment adviser with the SEC.
2011
Elanus Capital Management, LLC - Global Managed Account Platform
Representation of Elanus Capital Management, LLC in establishing an onshore/offshore multi series and segregated portfolio company structure to permit customized portfolios for institutional investors seeking to invest in credit linked notes and other asset backed securities issued by various European banks for capital relief purposes. We also helped Elanus negotiate certain seed investor transactions.
Elanus Capital Management, LLC - Global Managed Account Platform
Representation of Elanus Capital Management, LLC in establishing an onshore/offshore multi series and segregated portfolio company structure to permit customized portfolios for institutional investors seeking to invest in credit linked notes and other asset backed securities issued by various European banks for capital relief purposes. We also helped Elanus negotiate certain seed investor transactions.
2011
KCPS & Company - Regulatory Advice
Representation of KCPS & Company, a global investment management firm, and its affiliates in registering with the SEC as an investment adviser and related advice on the exempt status of various affiliates.
KCPS & Company - Regulatory Advice
Representation of KCPS & Company, a global investment management firm, and its affiliates in registering with the SEC as an investment adviser and related advice on the exempt status of various affiliates.
2010
International Investment Bank - Broker Dealer Formation
Representation of an international private investment bank regarding tax structuring, regulatory compliance and risk mitigation issues for their outsourcing and employee sharing arrangements related to registering a U.S. broker dealer subsidiary.
International Investment Bank - Broker Dealer Formation
Representation of an international private investment bank regarding tax structuring, regulatory compliance and risk mitigation issues for their outsourcing and employee sharing arrangements related to registering a U.S. broker dealer subsidiary.
2010
Emmes Asset Management - Investment Adviser Agreement
Representation of Emmes Asset Management Company LLC, a registered investment adviser, in its investment adviser agreement with a state pension fund allocating several hundred million dollars to investments in real estate opportunities.
Emmes Asset Management - Investment Adviser Agreement
Representation of Emmes Asset Management Company LLC, a registered investment adviser, in its investment adviser agreement with a state pension fund allocating several hundred million dollars to investments in real estate opportunities.
2009
Private Equity Fund - Luxury Fashion Investment
Representation of a private equity fund in its investment in a manufacturer and distributor of high-end fashion handbags and accessories.
Private Equity Fund - Luxury Fashion Investment
Representation of a private equity fund in its investment in a manufacturer and distributor of high-end fashion handbags and accessories.
Ongoing
Money Managers - General Counsel
Acting as general counsel to several private money managers with several billion dollars under management.
Money Managers - General Counsel
Acting as general counsel to several private money managers with several billion dollars under management.
Ongoing
Irish Hedge Fund - CDO Offerings
Representation of an Irish hedge fund in offerings of collateralized debt obligation in the U.S. and abroad.
Irish Hedge Fund - CDO Offerings
Representation of an Irish hedge fund in offerings of collateralized debt obligation in the U.S. and abroad.
2008
Nikko Capital Partners - Private Equity Fund
Representation of Nikko Capital Partners K.K. in structuring and setting up a $200 million special situations investment fund for Ant Global Partners Pte., Ltd., a subsidiary of Nikko Capital Partners K.K. as the fund manager, and two private equity funds managed by Elliott Advisors, the sole investors. The fund was structured as a Cayman Islands limited partnership and the fund manager as a Singapore private limited company.
Nikko Capital Partners - Private Equity Fund
Representation of Nikko Capital Partners K.K. in structuring and setting up a $200 million special situations investment fund for Ant Global Partners Pte., Ltd., a subsidiary of Nikko Capital Partners K.K. as the fund manager, and two private equity funds managed by Elliott Advisors, the sole investors. The fund was structured as a Cayman Islands limited partnership and the fund manager as a Singapore private limited company.
2008
Private Equity Fund - Music Industry Deal Restructuring
Representation of a private equity fund in the comprehensive restructuring of the acquisition financing for a music catalog. The restructuring involves the purchase of a music catalog in satisfaction of acquisition financing obligations, and also the funding of a music developer's participation in a new joint venture.
Private Equity Fund - Music Industry Deal Restructuring
Representation of a private equity fund in the comprehensive restructuring of the acquisition financing for a music catalog. The restructuring involves the purchase of a music catalog in satisfaction of acquisition financing obligations, and also the funding of a music developer's participation in a new joint venture.
2008
Marathon Real Estate Opportunity Fund - Sophisticated Transactions
Representation of Marathon Real Estate Opportunity Fund in connection with a number of extremely sophisticated transactions including domestic and international joint ventures and strategic partnerships, acquisition of hotel properties, construction and development of Marriott branded hotels, Florida condominiums and documiniums, acquisition of office complexes in Paris, and the acquisition of one of the largest NYC parking owner/operators.
Marathon Real Estate Opportunity Fund - Sophisticated Transactions
Representation of Marathon Real Estate Opportunity Fund in connection with a number of extremely sophisticated transactions including domestic and international joint ventures and strategic partnerships, acquisition of hotel properties, construction and development of Marriott branded hotels, Florida condominiums and documiniums, acquisition of office complexes in Paris, and the acquisition of one of the largest NYC parking owner/operators.
2008
Insurance Company - CDO Asset Management Company Investment
Representation of an insurance company in the formation of a joint venture CDO asset management company.
Insurance Company - CDO Asset Management Company Investment
Representation of an insurance company in the formation of a joint venture CDO asset management company.
2007
Financial Institution - Fund Management
Representation of a major financial institution in the management of a registered "fund of managers" and in the distribution of the fund shares through a broker wrap program.
Financial Institution - Fund Management
Representation of a major financial institution in the management of a registered "fund of managers" and in the distribution of the fund shares through a broker wrap program.
2007
Commercial Bank - Credit Facility
Representation of a leading commercial bank as the sole lender in a senior secured term credit facility to an investment manager of three real estate opportunity funds. The transaction required amending a previous facility to coordinate the payments, conditions and covenants of the two facilities.
Commercial Bank - Credit Facility
Representation of a leading commercial bank as the sole lender in a senior secured term credit facility to an investment manager of three real estate opportunity funds. The transaction required amending a previous facility to coordinate the payments, conditions and covenants of the two facilities.
2007
Euristates, Inc. - Romanian Investment
Representation of Euristates, Inc., the New York office of a French investment fund, in acquiring a majority stake in a Romanian investment company. This representation entailed performing due diligence on the assets of the Romanian company, and negotiating the transaction in Romania.
Euristates, Inc. - Romanian Investment
Representation of Euristates, Inc., the New York office of a French investment fund, in acquiring a majority stake in a Romanian investment company. This representation entailed performing due diligence on the assets of the Romanian company, and negotiating the transaction in Romania.
2006
Real Estate Fund - Refinancing
Representation of a Real Estate Fund in the refinancing of a leveraged credit facility.
Real Estate Fund - Refinancing
Representation of a Real Estate Fund in the refinancing of a leveraged credit facility.
2006
Channel Islands JV - Structured Credit Management
Representation of a joint venture based in the Channel Islands and New York in its formation. The new company will manage CDOs and other structured credit products.
Channel Islands JV - Structured Credit Management
Representation of a joint venture based in the Channel Islands and New York in its formation. The new company will manage CDOs and other structured credit products.
2006
Plainfield Asset Management - Westside Transload / Transload America
Representation of Plainfield Asset Management, one of the leading private equity firms in the United States, in its investment in operators of solid waste transfer stations on federally regulated railroad property. We protected our client’s minority equity position in these operators by implementing stockholders’ agreements with broad super-majority approval provisions, and helped navigate federal and state environmental regulations and federal pre-emption issues.
Plainfield Asset Management - Westside Transload / Transload America
Representation of Plainfield Asset Management, one of the leading private equity firms in the United States, in its investment in operators of solid waste transfer stations on federally regulated railroad property. We protected our client’s minority equity position in these operators by implementing stockholders’ agreements with broad super-majority approval provisions, and helped navigate federal and state environmental regulations and federal pre-emption issues.
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