Securities

Representing a leading global business services firm in connection with its IPO and NYSE Amex stock exchange listing.

Representing an SEC-reporting Chinese electronics company in connection with its going-private transaction and delisting on domestic and foreign stock exchanges.

Representing various investor groups in connection with their investments in various NASDAQ, NYSE and NYSE Amex-listed companies, including filing all required SEC reports.

Representing a large controlling shareholder group of an NYSE-listed specialty products company in connection with its SEC filings.

Representing senior management of publicly-held companies in connection with their employment agreements, equity issuances and SEC filing responsibilities.

Representing a NYSE-listed natural resources company in connection with the adoption and implementation of system-wide corporate risk management policies and procedures.

Representing a NSYE-listed electronics and electrical equipment company in connection with a proxy fight waged by a large institutional shareholder.

Representing a NYSE-listed precision liquid coatings dispensing company in connection with a stock buy-back program and the preparation of 10b5-1 plans.

Representing private equity funds, private real estate funds, hedge funds, venture capital funds, commodity pools and other collective investment entities in connection with formation, operation and SEC registration matters.

Representing SEC-reporting companies in connection with the preparation of 10-Ks, 10-Qs, annual reports to shareholders, proxy statements, Section 16 reports and corporate governance and shareholder relations matters.

Securities Regulatory and Investigatory Matters

Representing Chief Financial Officer of a NYSE Amex-listed aircraft components manufacturer in SEC investigation and convinced SEC Enforcement staff to drop case after Wells Call.

Representing hedge fund and its principals in connection with CFTC and SEC public pension fund pay-to-play investigations.

Representing national broker-dealer in connection with FINRA investigation regarding sales practices and supervisory issues involving branch office.

Representing regional broker-dealer in connection with SEC and concurrent state investigations and administrative proceedings involving sales practices.

Representing several investment banking firms in connection with engagements and regulatory compliance matters.

Representing a large wealth management office in connection with FINRA investigation regarding private placements.

Representing auditor of SEC-registered money market fund in connection with SEC investigation and administrative proceedings involving alleged improper audit procedures.

Representing national brokerage firm and custodian of self-directed individual retirement accounts and 401(k) plans in connection with federal and state regulatory investigations and civil administrative proceedings.

Representing investment adviser in connection with SEC investigation involving alleged defalcation of approximately $45 million.

Representing national brokerage firm in connection with FINRA investigation involving firm’s practices in connection with the marketing of CDOs collateralized by subprime residential mortgages.

Representing general partner of several investment funds in connection with SEC and state investigations
involving alleged violations of securities registration and anti-fraud statutes.

Representing national diversified financial and business services firm in connection with restructuring.

Representing several registered investment advisors with respect to formation, registration, operations, examinations and compliance matters.

Corporate Transactions

Representing private equity fund in connection with sale of powder coatings portfolio company to private equity fund.

Representing private equity fund in purchase of thermal heating and cooling facilities from large utility company.

Representing retail software development company in connection with sale to private equity company.

Representing electronic medical records company in connection with recapitalization and restructuring.

Representing inventor of sophisticated bio-medical device in connection with commercialization and capitalization matters.

Representing bio-medical investment fund in connection with disposition of one of its portfolio companies.

Representing investor in PIPE transaction involving defense contractor.

Representing family member involved in dispute with other family members regarding ownership and operation of multi-faceted real estate and waste disposal and recycling businesses.