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Banking & Credit Unions

Financial Services

DateTitleKnowledge Type
14 July 2014
North Carolina JOBS Act: Pioneering Investment Crowdfunding Legislation
Source: Kilpatrick Townsend & Stockton
Articles
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

Investment Management

Experience Highlights

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

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