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Investment Management

DateTitleKnowledge Type
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
20 July 2007
SEC Publishes Compliance Alert Legal Alerts

Securities

Experience Highlights

Mutual to stock conversion and IPO of American Financial Holdings Inc.
Represented American Savings Bank in its mutual-to-stock conversion and the related $267.3 million initial public offering by its newly formed more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $516.3 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $516.3 million initial public offering by Investors Bancorp, Inc. 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
Registered public offering of three series of corporate bonds for large U.S. tobacco company
Represented large U.S. tobacco company in its largest single securities transaction, involving a registered public offering of three series of more

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