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Investment Management

DateTitleKnowledge Type
14 January 2014
SEC Releases 2014 Exam Priorities 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
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
13 July 2009
SEC Proposes Amendments to Money Market Fund Regulation Legal Alerts
17 June 2009
New Proposal Would Give Certain Shareholders the Right to Include Director Nominees in Company Proxy Materials Legal Alerts
13 February 2009
Federal Rules of Evidence - New Rule 502 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


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
Mutual to stock conversion and IPO of Newport Federal Savings Bank
Represented Newport Federal Savings Bank in its mutual to stock conversion and the related $45.2 million initial public offering by its newly public 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
Proxy contest for Emageon Inc.
Represented Emageon Inc., a publicly traded medical image software developer, in connection with a hostile proxy contest by Oliver Press Partners, more

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