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Patrick D. Sweeney: matters
Profile Matters News Events Publications
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.
Ongoing
Insurance Company - Restructuring and Loss Remediation
Representation of insurance company in restructuring and loss remediation activities relating to asset backed securities and conduit municipal bond investments.
2014
Meag NY - Master Securities Forward Transaction Agreement
Representation of Meag NY in connection with review and comment on master securities forward transaction agreement proposed by Wells Fargo.
2014
Money Center Bank- CLO Program
Representation of a money center bank in developing a collateralized loan obligation program to recycle national real estate mortgage loans and warehouse loans, including advice as to structuring, tax matters and bank regulatory matters.
Ongoing
Emmes Capital LLC - Regulatory Advice
Representation of Emmes Capital LLC in connection with regulatory advice with respect to investment advisor, commodity trading, swaps and Dodd-Frank regulations.
2014
Plainfield Asset Management - Portfolio Company Sales
Representation of Plainfield Asset Management in connection with the sale of several portfolio companies.
2014
Mitchell Best Homes LLC - Joint Venture
Representation of Mitchell Best Homes LLC in connection with a joint venture with institutional investors for real estate housing developments.
2014
Gucci America Inc. - Corporate Governance
Representation of Gucci America Inc. in connection with corporate governance issues with respect to fiduciary duties and parent/subsidiary relationships.
Ongoing
Meag NY - Master Securities Forward Transaction Agreement
Representation of Meag NY in connection with review and comment on master securities forward transaction agreement proposed by Citibank NA.
2014
Strategic Check LLC - Master Participation Agreement
Representation of Strategic Check LLC in preparation of master participation agreement which will permit investments in non-recourse credit extended to health care providers.
2013
Multinational Insurance and Reinsurance Company - Capital Markets and Regulatory Advice
Ongoing capital markets and regulatory advice to the investment advisory unit of a multinational insurance and reinsurance company.
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.
2012
Sports Broadcaster - High Yield Offering
Representation of leading regional Sports Business broadcaster and franchise in the issuance of $250 million high yield note offering.
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.
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.
2012
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.
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.
2011
Emmes Asset Management Company LLC - Acquisition
Representation of Emmes Asset Management in connection with the acquisition of a preferred equity interest in Waterside Plaza, a multi-family residential complex on the East River.
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.
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.
2009
Global Investment Bank - Restructuring and Loss Remediation
Representation of a global investment bank in ongoing restructuring and loss remediation efforts for portfolios of CDOs, ABSs and financial assets.
2009
Private Equity Fund - Strategic Acquisitions
Representation of a private equity fund in acquiring an insolvent environmental services company through a plan of reorganization under Chapter 11.
2009
Private Equity Fund - Strategic Joint Venture
Representation of a private equity fund in the startup and joint venture of a new residential mortgage servicing company.
2009
Asset-Backed Securities - Financial Restructuring Initiatives
Representation of credit enhancement banks and insurance companies in refinancing legacy assets and reducing loss exposure to related asset-backed securities.
2009
Insurance Company - Restructuring and Loss Remediation
Representation of a major insurance company in restructuring and loss remediation regarding credit enhancement exposure to asset-backed securities.
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.
2008
Multi-Service Financial Institution - Regulatory and Securities Law Advice
Counsel to the broker dealer and investment advisor units of a multi-service financial institution on corporate and regulatory matters.
2008
Insurance Company - CDO Asset Management Company Investment
Representation of an insurance company in the formation of a joint venture CDO asset management company.
2007
Apparel Designer/Manufacturer - Purchase
Representation of an offshore apparel designer/manufacturer in the purchase of a US fashion designer.
2007
Real Estate Developers - Mezzanine Facility
Representation of real estate developers in refinancing mezzanine commercial real estate facilities by reverse repurchase facility.
2006
Global Brokerage Firm - Proposed $100 Million Acquisition
Representation of a global brokerage firm in its proposed $100 million acquisition of a New York-based brokerage firm. Both were registered broker-dealers and the transaction featured broker-dealer regulation and compliance issues, NASD (now FINRA) issues, and Hart-Scott-Rodino compliance.
2006
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.
2005
Private Equity Fund - Hedge Fund Loan
Representation of a private equity fund in making a loan to a hedge fund for liquidity purposes, secured by the hedge fund’s securities portfolio.
2005
Hedge Fund - Distressed CDO Acquisition
Representation of a hedge fund in its accumulation of a controlling position in the securities of a financially stressed CDO, and in the subsequent liquidation of the CDO.