Sort the Following Results By:

Merger of mutual funds company
Represented $100 million mutual fund family and registered investment adviser with merger. more Featured
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 Featured
Improper trading activity by an investment adviser
Represented financial institution and investment adviser in alleged improper trading activity by a portfolio manager. more Featured
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 Featured
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 Featured
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 Featured
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 Featured
Registered INHAM adviser to major U.S. timber producer
Represented registered corporate "INHAM" adviser to a major U.S. forest products manufacturer. Ongoing representation of INHAM more Featured
Private investments for a major institutional investor *
Represented a major institutional investor in connection with over 30 investments, with an aggregate value of nearly $3 billion, in various private more Featured
Mutual fund and investment management disputes for large financial institution
Represented multi-billion dollar mutual fund family for a Fortune 500 financial institution in action alleging inappropriate investments in more Featured
Researched and drafted privacy statement for large-market investment banking institution *
Advised large-market investment banking institution in connection with reviewing and revising privacy statement. more
Acquisition for a premiere global private equity firm
Represented a premiere global private equity firm in connection with its acquisition of a Swedish company. more
Underwriter's counsel for Keefe Bruyette & Woods in a $122 million public offering
Represented underwriter, Keefe Bruyette & Woods, in the $122 million initial public offering by Territorial Bancorp Inc. more
Financial services for a stock transfer business agency *
Represented a large New York-based national independent stock transfer agency in establishing successor borrower programs in connection with more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $516.3 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $516.3 million initial public offering by Investors Bancorp, Inc. more
In-fill real estate projects representation for investment manager
Represented investment manager in various in-fill real estate projects in Raleigh, North Carolina, including acquisition, redevelopment and more
Chapter 11 cases representing examiner for a subprime mortgage lender
Represented William F. Perkins, the examiner appointed in the Chapter 11 cases of HomeGold Financial Inc., HomeGold Inc. and Carolina Investors Inc.,  more
Bankruptcy filing of a large national retail REIT; Restructuring of Mortgage debt
Assist special servicers with interpreting provisions in applicable pooling and servicing agreements, intercreditor agreements, participation more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $1.1 billion public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $1.1 billion initial public offering of common stock by TFS Financial more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $161.2 million public offering
Represented underwriter, Sandler O'Neill + Partners L.P., in the follow-on public offering of $161.2 million of common stock by National Penn more
Represented a registered representative in investigation by FINRA
Served as lead counsel in the representation of a registered representative in investigation by FINRA related to allegations of selling away. more
Represents an investment advisor
Serves as lead counsel in the representation of an investment adviser in investigations by FINRA and the SEC. more
Acquisition of a software company in India for a major U.S. private equity/investment firm *
Represented a major U.S. private equity/investment firm relating to the acquisition of a software company in India. more
Venture Capital Fund Counsel
Counsel to venture capital fund focused upon early-stage South Carolina domiciled companies. more
Representation of ETF series trust
Ongoing representation of series trust for exchange traded products. more
Repurchase of $150 million of common stock for NYSE listed financial services firm
Represented Audit Committee of the Board of a NYSE listed financial services firm in its consideration of the optimal usage of excess capital and the  more
Insurance litigation for leading investment consulting firm
Lead counsel for recognized leader in investment consulting regarding alleged director and officer wrongful acts. more
Investment partnership
Served as counsel to family office investment management company providing private wealth management services. more
Securities counsel for mortgage and investment real estate investment trust company *
Represented a mortgage and investment REIT as securities counsel in connection with issuance of its common stock. more
Loans and loan workouts for Merrill Lynch Capital *
Represented Merrill Lynch Capital in connection with over thirty loans and loan workouts, including senior secured, mezzanine and construction more
Formation of solar power storage investment fund *
Representing a U.S. energy company in the development and structuring of a $25 million solar power storage investment fund. more
Representation of mutual fund series trust
Ongoing representation of series trust for open-ended mutual fund products. more
Underwriters’ counsel in a $12.1 million public offering
Represented the underwriter in a $12.1 million public offering by a mid-Atlantic bank holding company. more
Underwriters’ counsel in a $27.1 million public offering
Represented the underwriter in a $27.1 million public offering undertaken in connection with a second step mutual holding company reorganization. more
Registered investment advisers and mutual funds
Represents multi-billion and multi-million dollar registered investment advisers and investment companies in private and public offering matters. more
Repurchase of $200 million of common stock for Audit Committee of NYSE financial services firm
Represented Audit Committee of the Board of a NYSE listed financial services firm in its consideration and negotiation of a repurchase of $200 more
Superfund insurance claim and EPA negotiations for an investment partnership
Successfully obtained an agreement from an insurer to defend an investment partnership with regard to a Superfund action brought by the Environmental  more
Trademark portfolio management assistance for AXIS Capital Holdings
Represents AXIS Capital Holdings, an international reinsurance services provider, in trademark clearance, protection, portfolio management, and more
Underwriter's counsel for Trident Securities in an initial public offering
Represented the underwriter, Trident Securities, in the $4.8 million initial public offering by City Savings Financial Corp. more
Underwriter's counsel for Keefe, Bruyette & Woods in a $5.6 million public offering
Represented the underwriter, Keefe, Bruyette & Woods, in the $5.6 million initial public offering by OC Financial Inc. more
Strategic disposition and sale of a division by a publicly-held investment banking and brokerage company to a management led group
Represented a publicly-held investment banking and brokerage company in its disposition and sale of a division to a private group led by certain more
Forward finance sale for an investor consortium *
Advising an international investor consortium on a multi-billion forward finance sale to a Norwegian insurer and the investment arm of a major German  more
Outsourcing of global facilities management function for investment management company
Represented publicly traded investment management company in connection with outsourcing of its global facilities management function to Mace Marco more
Sale of interest in real estate investment fund manager
Represented real estate investment company in connection with the sale of its interest in an investment fund manager to its joint venture partner. more
Acquisition by publicly-held investment banking and brokerage company of a substantial closely-held limited liability company
Represented publicly-held investment banking and brokerage company in its acquisition of a substantial closely-held limited liability company, more
Defense of major global investment firm for failure to comply with state law requirements *
Represented major global investment banking firm for a key element of a multi-billion-dollar claim against it for failure to comply with state law more
Real estate fund formation for real estate investment firm
Represented principals of a limited liability company in connection with the formation of a joint venture that will sponsor and manage value more
Underwriter's counsel for Friedman, Billings, Ramsey & Co. Inc.
Represented underwriter Friedman, Billings, Ramsey & Co. Inc. in the $58.2 million initial public offering by Atlantic Coast Federal Corporation. more
Underwriter's counsel for Trident Securities in a $15.8 million initial public offering
Represented the underwriter, Trident Securities, in the $15.8 million initial public offering by First Deposit Bancshares, Inc. more
Underwriter's counsel for Ryan Beck & Co. in a $17.0 million initial public offering
Represented the underwriter, Ryan Beck & Co., in the $17.0 million initial public offering by First Federal of North Michigan Bancorp. more
Underwriter's counsel for Stifel Nicolaus Corp. in a $27.7 initial public offering
Represented the underwriter, Stifel Nicolaus Corp., in the $27.7 public offering by Malvern Federal Bancorp, Inc. more
Insurance coverage litigation for investment company regarding professional liability losses
Represents an investment company in litigation regarding coverage under errors & omissions policies for professional liability losses. more
Underwriter's counsel in a $39.7 million public offering
Represented the underwriter in a $39.7 million initial public offering by a New York savings bank holding company. more
Underwriter's counsel for Trident Securities in a $2.6 initial public offering
Represented the underwriter, Trident Securities, in the $2.6 million initial public offering by Rantoul First Bank, S.B. more
Investor counsel for angel fund
Represented angel fund in connection with Series A preferred stock investment in privately-held biotechnology company. more
Divesture of a property portfolio for a European investment bank
The firm served as lead counsel in representing an investment bank in the divesture of  a property portfolio. more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $28 million follow-on public offering of common stock by Smithtown Bancorp, Inc. more
Formation for Atlanta-based private equity firm
Represented principals of an Atlanta-based private equity firm in the formation of two investment funds, including the acquisition of a legacy more
Underwriter's counsel for Keefe, Bruyette & Woods in a $9.1 million public offering
Represented the underwriter, Keefe, Bruyette & Woods, in the $9.1 million initial public offering by Roebling Financial Corp. Inc. more
Assessing litigation risk for foreign investment bank
Assisting foreign investment bank in assessing litigation risk associated with potential acquisition of subsidiary in New York and advising on more
State tax structuring advice for wholesale energy marketer
Advised a leading North American wholesale energy marketer regarding the optimal state tax structure for use in connection with a purchase and more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $121.7 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $121.7 million initial public offering by Oritani Financial Corp. more
Fraudulent conveyance adversary litigation *
Led representation of defendants in $70 million fraudulent conveyance adversary proceeding brought by trustee in Chapter 7 case. Successfully settled  more
Underwriter's counsel for Trident Securities in a $5.6 initial public offering
Represented the underwriter, Trident Securities, in the $5.6 million initial public offering by First Federal of Olathe Bancorp, Inc. more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $13.4 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $13.4 million initial public offering by SFSB, Inc. more
Underwriter's counsel for Stifel Nicolaus Corp. in a $20.8 initial public offering
Represented the underwriter, Stifel Nicolaus Corp., in the $20.8 million initial public offering by Colonial Bankshares, Inc. more
Issuer’s counsel in a $6.1 million initial public offering
Represented the issue in a $6.1 million public offering undertaken in connection with the mutual-to-stock conversion and holding company formation by  more
Proxy contest to elect insurgent nominees to board of directors of publicly held banking company
Represented Schaller Equity Partners, a private investment partnership, and a coalition of insurgent shareholders formed by it, in a successful proxy  more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $56.5 public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $56.5 million initial public offering by Prudential Bancorp, Inc. of more
Mutual holding company reorganization of Bay-Vanguard Federal Savings Bank and $11.9 million IPO for BV Financial Inc..
Represented Bay-Vanguard Federal Savings Bank in its mutual holding company reorganization and the related $11.9 million initial public offering by more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a private placement of subordinated notes
Represented the underwriter, Sandler O'Neill + Partners L.P., in an $11.8 million private placement of subordinated notes by Paragon Commercial Bank. more
Sale of publicly held JWGenesis Financial Corp.
Represented JWGenesis Financial Corp., a publicly held investment banking and brokerage company, in its $100 million acquisition by First Union more
Loan assumption transaction assistance for loan servicer
Assist loan servicer with documenting, negotiating and closing loan assumption transactions involving subordinate debt and rating agency review on a more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $192.7 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $192.7 million initial public offering by Northfield Bancorp, Inc. more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $148.8 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $148.8 million initial public offering by Partners Trust Financial Group, Inc. more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $3.8 public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $3.8 million initial public offering by St. Joseph Bancorp, Inc. more
Complex insurance coverage litigation for hedge fund
Obtain substantial settlements for hedge fund in ongoing lawsuit seeking coverage for losses incurred in connection with criminal and other more
Retail acquisition for California Public Employees' Retirement System *
Represented the California Public Employees' Retirement System in connection with acquisition of equity investment in Century City Mall (Los more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $8.7 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $8.7 million initial public offering by Flatbush Federal Bancorp, Inc. more
Complex insurance coverage litigation for venture capital firm
Lead counsel in ongoing representation of venture capital firm in connection with dispute under directors and officers liability policy regarding more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $27.5 million private placement
Represented the underwriter, Sandler O'Neill + Partners L.P., in a private placement of $27.5 million of common stock issued by Smithtown Bancorp, more
In re Enron Creditors Recovery Corp., et al. *
Represented Neal Batson, the examiner in the Chapter 11 cases of Enron Creditors Recovery Corp., et al., who examined and reported on hundreds of more
Investment fund company involving breach of contract and fraud *
The firm served as co-counsel for an investment fund company in a case involving breach of contract and fraud with respect to secured loans.  In this  more
Intellectual property counsel for a prominent investment fund
The firm served as intellectual property counsel for a prominent investment fund represented by a major New York law firm in connection with the more
Lauth Group Inc. v. U.S. Real Estate Limited Partnership
Served as lead counsel representing USAA Real Estate Company, the real estate investment affiliate of United Services Automobile Association (USAA), more
Lawsuit against insurance broker and major insurance carriers for bid-rigging and other market misconduct
The firm served as lead counsel in litigation against our client’s insurance broker and several major insurance carriers, including AIG, Travelers, more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $202.0 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $202.0 million initial public offering by KNBT Bancorp, Inc. more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $98.2 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $98.2 million initial public offering by Roma Financial Corp. more
Insurance litigation for one of the largest traders of U.S. Treasuries regarding losses from domestic terrorist attacks *
Lead counsel for one of the largest traders of U.S. Treasuries regarding their property loss, business interruption, extra expense and other 9/11 more
Underwriter's counsel for Keefe, Bruyette & Woods
Represented the underwriter, Keefe, Bruyette & Woods in the $5.6 million initial public offering by OC Financial Inc. more
Underwriter's counsel for Keefe, Bruyette & Woods in a $10.3 million public offering
Represented the underwriter, Keefe, Bruyette & Woods, in the $10.3 million initial public offering by William Penn Bancorp Inc. more
Assistance with Department of Justice and Attorney General Civil Investigative Demands for corporate clients
Assisted corporate clients with responses to Civil Investigative Demands issued by U.S. Attorneys’ Offices and state Attorneys General. more
Real estate investment, development and finance company
Represented $1 billion real estate investment, development and finance company in connection with private real estate investment funds. more
Negotiated co-existing licensing agreement between U.S. and U.K. companies *
Negotiated co-existing licensing agreement between one of the largest U.S. commercial banks and an U.K. investment group with respect to worldwide more
Underwriter's counsel in a $13.0 million public offering
Represented underwriter in a $13.0 million initial public offering by an Indiana mutual holding company done to finance a concurrent acquisition. more
Advised and drafted outsourced IT services for asset management company *
Represented asset management company in connection with the transition of outsourced IT Services back in-house. more
Sale of a real estate portfolio for real property lessors
Represented real property lessors in relation to the sale of a real estate portfolio at a total value of almost SEK 1 billion. more
Transactional counsel for Merrion Capital
Represented Merrion Capital in connection with proposed investment in the Atlanta W downtown hotel and condominium project. more
Underwriter's counsel for Keefe, Bruyette & Woods in a $25.3 million public offering
Represented the underwriter, Keefe, Bruyette & Woods, in the $25.3 million initial public offering by MSB Financial Inc. more
Underwriter's counsel for Trident Securities in a $5.2 million initial public offering
Represented Trident Securities, the underwriter, in the $5.2 million initial public offering by First BancTrust Corporation. more
Underwriter's counsel for Trident Securities in a $6.8 initial public offering
Represented the underwriter, Trident Securities, in the $6.8 million initial public offering by Mt. Troy Savings Bank. more
Litigation for investor to obtain assets from investment advisor under SEC investigation
Assisted an investor in obtaining a return of his assets and securities from an investment account at an investment advisor in receivership and under  more
Underwriter's counsel for Keefe, Bruyette & Woods in a $10.7 million public offering
Represented the underwriter, Keefe, Bruyette & Woods, in the $10.7 million initial public offering by Seneca-Cayuga Bancorp Inc. more
Underwriter's counsel for Stifel Nicolaus Corp. in a $78.2 initial public offering
Represented the underwriter, Stifel Nicolaus Corp., in the $78.2 million initial public offering by Cape Bancorp, Inc. more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $11.1 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $11.1 million initial public offering by Hibernia Homestead Bancorp, Inc. more
Placement Agent Counsel for Sandler O'Neill + Partners L.P. in a $54 million private placement
Represented the placement agent, Sandler O'Neill + Partners L. P. in the $54 million private placement offering by a de novo national bank. more

*Experience gained by attorney prior to joining Kilpatrick Townsend

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Investment & Securities

Experience Highlights

Registered INHAM adviser to major U.S. timber producer
Represented registered corporate "INHAM" adviser to a major U.S. forest products manufacturer. Ongoing representation of INHAM 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
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
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

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