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Due Diligence Project
Advise leading global commodities firm in the due diligence and potential equity investment in natural gas-to-liquid fuels project in the U.S. more
Secured financing of automobile loan *
Represented investment fund in secured financing of automobile loan receivables in comprehensive financing facility. more
Obtained a non-reportable Letter of Cautionary Action for securities broker
Successfully defended a securities broker in connection with FINRA action that was seeking a long-term suspension and substantial fine, which would 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
Formation of a financial services company
Represented the principals of an investment management company in the formation of their private equity fund, including the acquisition of the legacy  more
Trust preferred securities for a Midwestern institution
Represented a Midwestern institution in connection with the exchange of trust preferred securities for cash and common securities. more
Trust preferred securities for a mid-Atlantic bank
Represented a mid-Atlantic bank holding company in connection with the exchange of trust preferred securities for common stock. more
U.S. preferred stock investment by Chinese public company
Represented a Chinese public company in connection with its equity investment in a U.S. venture-backed software company. 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
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

*Experience gained by attorney prior to joining Kilpatrick Townsend

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Investment Management

Experience Highlights

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
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
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

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