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Financial Services

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
14 July 2014
North Carolina JOBS Act: Pioneering Investment Crowdfunding Legislation
Source: Kilpatrick Townsend & Stockton
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
26 February 2010
SEC Amends Rules for Internet Availability of Proxy Materials Legal Alerts
19 June 2007
Supreme Court Gives Investment Banks Immunity from Antritrust Laws Legal Alerts


DateTitleKnowledge Type
09 June 2017
Fiduciary Rule: June 9 & Beyond Legal Alerts
05 April 2017
SEC Issues Custody Rule Guidance 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 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
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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