Representative Matters
- Represented the investment team of a $15 billion private equity boutique in a dispute with their parent company owner concerning their departure.
- Represented a $1.6 billion private equity fund in negotiations and litigation involving the removal of its founder.
- Represented a crowdfunding platform with respect to a FINRA arbitration brought by an issuer with respect to a failed offering.
- Represented a former registered representative of a broker-dealer in a FINRA arbitration brought by his former broker-dealer for fraud and with respect to a FINRA enforcement investigation.
- Represented a private placement firm with respect to its new member application, as well as with respect to various regulatory matters involving FINRA and state securities agencies.
- Represented a private equity advisory firm in the negotiation of employment agreements and the structuring of profit participation and phantom equity plans.
- Represented the founder of a mezzanine fund in negotiations concerning succession planning and a transition agreement.
- Represented a hedge fund in connection with buyout negotiations between co-founders.
- Represented a portfolio company in an arbitration brought by the former Chief Executive Officer of the company with respect to his termination.
- Represented a hedge fund in SEC and CFTC investigations involving alleged trading improprieties.
- Represented a hedge fund in an internal investigation concerning misappropriation of confidential information.
- Represented a venture capital fund in connection with a lawsuit brought by shareholders of a portfolio company for fraud and other claims arising out of the acquisition of the company.
