Merchant Bank – Corporate Matters
Represented a merchant bank in the ownership and operation of numerous investments including a joint venture with a preeminent cosmetics brand.
Securities Company – Term Loan and Revolving Credit Facility
Represented a Texas-based securities company in acquiring a term loan and revolving credit facility.
U.S. Commercial Bank – $50 Million Senior Secured Revolving Line of Credit
Represented a U.S. commercial bank, as a sole lender, in a $50 million senior secured revolving credit facility to owners of an MLB franchise. The proceeds are to be used for working capital purposes.
Merchant Bank – Private Equity Investment
Represented a well-known merchant bank in a private equity investment.
Investment Advisor – Department of Justice, SEC Investigations, and 9 State Attorney General Investigations
Represented an SEC registered investment advisor to several private equity funds with over $1.0 billion in assets under management, in connection with investigations of alleged securities law violations by the DOJ, the SEC and state securities regulators.
Broker-Dealer – FINRA Arbitration
Represented an investment bank and broker dealer in a FINRA arbitration alleging the wrongful withholding.
Senior Trader – FINRA Investigation
Represented a senior trader of a financial institution in a FINRA investigation alleging market manipulation.
Executive – Internal Investigation
Represented the CEO of a wealth management firm in an internal investigation into selling away and improperly executing client documentation.
Broker – FINRA Investigation
Represented a broker in a FINRA investigation into improperly soliciting investments away from the firm.
Investment Bank – Favorable Resolution in Arbitration Initiated by Former Managing Director
Successfully represented an investment bank in an arbitration involving unpaid fees allegedly owed to a former registered representative. After an evidentiary hearing, the three-member panel dismissed all of the representatives claims, awarded them zero dollars and declined to refer the matter to FINRA enforcement.
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