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DateTitleKnowledge Type
01 November 2017
In Re ProShares: Second Circuit Deprives Investors of Meaningful Disclosures
Source: Wake Forest Journal of Business and Intellectual Property Law
13 October 2017
Regulation S-K Amendments Promise FAST Relief for Advisers and Funds
Source: JD Supra
14 July 2017
Broker-Dealers and Investment Advisers Exempted from CFPB’s Arbitration Agreement
Source: JD Supra
09 June 2017
Fiduciary Rule: June 9 & Beyond Legal Alerts
05 April 2017
SEC Issues Custody Rule Guidance Legal Alerts
18 August 2016
Political Rhetoric and Hedge Fund Regulation
Source: The Huffington Post
22 December 2015
Comprehensive Partnership Audit Reform Requires Amendments To Partnership (and LLC Operating) Agreements Legal Alerts
17 November 2015
SEC Adopts Final Crowdfunding Rules Legal Alerts
18 June 2015
SEC Proposes Changes to Form ADV Legal Alerts
18 May 2015
June 30th Deadline for Foreign Bank Account Reporting to IRS Legal Alerts
15 October 2014
Certain FATCA Deadlines are Postponed for Entity Accounts Opened Prior to January 1, 2015 Legal Alerts
14 July 2014
North Carolina JOBS Act: Pioneering Investment Crowdfunding Legislation
Source: Kilpatrick Townsend & Stockton
28 February 2014
SEC Provides No-Action Relief for M&A Brokers Legal Alerts
14 January 2014
SEC Releases 2014 Exam Priorities Legal Alerts
23 July 2012
Investment Management Blog Blogs
17 January 2012
New Department of Labor Regulations Offer More Investment Advisers the Opportunity to Provide Advice to Participants in 401(K) Plans and IRAs Legal Alerts
23 September 2011
Private Equity Firms Should Prepare for Exemption Changes
Source: Triad Business Journal
20 September 2011
Deadline for Meeting the New Investment Adviser Regulatory Requirements Under the Dodd-Frank Act is Quickly Approaching Legal Alerts
17 February 2011
DOL Delays Compliance with the Fee Disclosure Regulations Legal Alerts
09 November 2010
SEC Adopts New Form ADV, Part 2 Legal Alerts
30 September 2010
SEC Proposes New Approach to Mutual Fund Asset-Based Distribution Fees Legal Alerts
05 August 2010
DOL Takes Aim at Hidden Retirement Plan Fees Legal Alerts
13 July 2010
The SEC Targets the Advertising of “Target Date Funds” with New Proposed Rules Legal Alerts
26 February 2010
SEC Amends Rules for Internet Availability of Proxy Materials Legal Alerts
19 January 2010
The SEC Amends Custody Rule for Registered Investment Advisers Legal Alerts
11 September 2009
Investment Companies May Provide Summary Prospectuses to 401(k) and Other ERISA Plans Offering Their Funds Legal Alerts
12 August 2009
UPDATE: IRS Extends Deadline for FBAR Reporting Requirements for Hedge Funds, Private Equity Funds and Similar Commingled Investments Legal Alerts
13 July 2009
SEC Proposes Amendments to Money Market Fund Regulation Legal Alerts
06 July 2009
Change to NYSE Rule 452 Prohibits Discretionary Voting by Brokers in Uncontested Director Elections Legal Alerts
25 June 2009
UPDATE: IRS Modifies FBAR Reporting Requirements for Hedge Fund and Similar Investments Legal Alerts
17 June 2009
New Proposal Would Give Certain Shareholders the Right to Include Director Nominees in Company Proxy Materials Legal Alerts
20 March 2009
Supreme Court Agrees to Hear Mutual Fund Case Legal Alerts
17 February 2009
Implementing E Proxy in 2009—Some Practical Considerations Legal Alerts
13 February 2009
Federal Rules of Evidence - New Rule 502 Legal Alerts
31 December 2008
SEC Adopts New Disclosure Rules for Mutual Funds Legal Alerts
25 November 2008
Mutual Fund Boards Should Consider Proposed Guidance Regarding Fund Brokerage Trading Practices Legal Alerts
30 April 2008
SEC Proposes New Changes to Form ADV Part II Legal Alerts
31 March 2008
SEC Accepts Comments Regarding Proposed “Summary Prospectus” and Related Proposed Amendments Legal Alerts
29 January 2008
SEC Adopts Amendments Affording Regulatory Relief and Simplification for “Smaller Reporting Companies” Legal Alerts
23 January 2008
No Private Right of Action Under Section 10(b) Against Third Party Wrongdoers Legal Alerts
26 November 2007
The SEC Adopts New Internet-Oriented Proxy Rules Legal Alerts
10 October 2007
Heightened SEC Oversight and New Rules to Benefit Investors Legal Alerts
27 August 2007
New Developments in Private Fund Regulation, FINRA and New Proxy Solicitation Rules Legal Alerts
20 July 2007
SEC Publishes Compliance Alert Legal Alerts
19 June 2007
Supreme Court Gives Investment Banks Immunity from Antritrust Laws Legal Alerts
08 February 2007
SEC Proposes New Rules Regarding Fraud by Advisers to Pooled Investment Vehicles and Raising the Asset Minimum for “Accredited Investors” to $2.5 million Legal Alerts
04 August 2006
SEC Adopts Interpretive Release RE: Soft Dollars Safe Harbor Legal Alerts

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
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
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
Merger of mutual funds company
Represented $100 million mutual fund family and registered investment adviser with merger. more

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