Investment Advisers and Asset Management Firms

Experience Highlights

• Registered investment adviser with billions of dollars of assets under management in an SEC examination, civil lawsuits in state and federal court, and investor demands involving compliance matters, including custody relationships, trading positions and disclosures.

• Alternative investment firm in an internal investigation regarding a portfolio company and a derivative action involving claims of breach of fiduciary duty.

• Triaxx, as is the collateral manager for three prime RMBS CDO transactions, in defending two interpleader actions brought by the CDOs’ Trustee. The matters presented important issues of contract construction with respect to the operative indentures and collateral management agreements.

• Aegis Capital Corp., its CEO, and former employees, in multiple state and federal class actions arising out of the IPO of YayYo, Inc. The court granted final approval of a settlement that will resolve all claims against Aegis capital.

• Aegis Capital Corp. in persuading court to dismiss a securities action alleging that Aegis and a co-underwriter made misrepresentations and omissions in offering documents concerning a municipal bond transaction. 

• Publicly traded alternative investment management company in compliance advice concerning alternative data usage and policies.

• Large asset manager in advocating for amendments to SEC regulations governing money market mutual funds (MMFs) and modifications to NAIC standards regarding insurers' treatment of MMFs for accounting purposes.

• Hedge fund and mutual fund founder and Chief Investment Officer against allegations of securities fraud in a DOJ criminal proceeding; SEC and CFTC regulatory enforcement actions; and multiple civil litigations in various federal and state courts.

• Dually registered investment advisor/broker dealer in several parallel customer arbitration and litigation matters deriving from losses in a net-credit-spread options trading strategy.