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Financial Services

DateTitleKnowledge Type
01 November 2017
Morgan Stanley’s Withdrawal from the Broker Protocol Shocks Industry
Source: JD Supra
01 November 2017
In Re ProShares: Second Circuit Deprives Investors of Meaningful Disclosures
Source: Wake Forest Journal of Business and Intellectual Property Law
30 October 2017
Adviser Trading in Europe or Advising E.U. Clients Must Prepare for MiFID II
Source: JD Supra
25 August 2017
Second Circuit Clarifies its Post-Salman Position, Affirms Insider Trading Conviction
Source: JD Supra
14 July 2017
Broker-Dealers and Investment Advisers Exempted from CFPB’s Arbitration Agreement
Source: JD Supra
25 January 2017
Consumer Payments in 2017: Regulatory Developments and Prospects For Consumer Gift Cards, Prepaid Cards, and Other Consumer Electronic Payment Methods Podcasts
09 October 2015
Hillary Clinton’s High-Frequency Trading Mistake
Source: The Huffington Post
15 April 2015
SEC Adopts Final Regulation A+ Rules Ushering in New Era of Capital Raising Legal Alerts
25 October 2013
SEC Finally Proposes Crowdfunding Rules Legal Alerts
09 November 2010
SEC Adopts New Form ADV, Part 2 Legal Alerts


Experience Highlights

$105.0 million initial public offering of Meridian Interstate Bancorp Inc.
Represented Meridian Interstate Bancorp Inc. in its $105.0 million initial public offering. 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
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
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

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