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DateTitleKnowledge Type
01 November 2017
Morgan Stanley’s Withdrawal from the Broker Protocol Shocks Industry
Source: JD Supra
Articles
01 November 2017
In Re ProShares: Second Circuit Deprives Investors of Meaningful Disclosures
Source: Wake Forest Journal of Business and Intellectual Property Law
Articles
30 October 2017
Adviser Trading in Europe or Advising E.U. Clients Must Prepare for MiFID II
Source: JD Supra
Articles
25 August 2017
Second Circuit Clarifies its Post-Salman Position, Affirms Insider Trading Conviction
Source: JD Supra
Articles
14 July 2017
Broker-Dealers and Investment Advisers Exempted from CFPB’s Arbitration Agreement
Source: JD Supra
Articles
03 July 2017
Regulation 14C and the Effectiveness of a Non-Unanimous Shareholders' Written Consent
Source: Corporation, Section 2, Vol. LXXXVIII, No. 13
Articles
09 May 2017
SEC Amends Crowdfunding Rules
Source: JD Supra
Articles
09 May 2017
General Solicitations of Certain Regulation D “Private” Securities Offerings: SEC Affirms Zero-Tolerance Policy
Source: JD Supra
Articles
19 April 2017
SEC Issues Guidance to Robo-Adivsers
Source: JD Supra
Articles
05 April 2017
SEC Issues Custody Rule Guidance Legal Alerts

Securities

Experience Highlights

"At-the-market" public offering of common stock for Delta Air Lines
Represented Delta Air Lines in connection with its $196 million registered "at-the-market" offering of common stock. more
Public offering of common stock by Northfield Bancorp, Incorporated
Represented the underwriter, Sandler O' Neill & Partners, L.P., in a $355.6 million public offering of common stock by Northfield Bancorp, Inc. more
Simultaneous roll-up/combination of nine companies and initial public offering to form an NYSE-listed public company
Represented principal founding company and sponsor of the roll-up/combination of nine private companies and simultaneous initial public offering and 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

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