Successfully defended a private equity/investment advisor firm in cases all across the country brought by exchange fund investors alleging common law securities fraud and mismanagement claims and seeking hundreds of millions of dollars in compensatory damages.
Represented SEC registered investment adviser in the establishment of more than 10 separate private "fund of funds" via a Series LLC structure. The work is notable in terms of structure as the Series LLC structure is not typically used. Further, establishing the funds required working through significant and complex investment advisory, broker-dealer, investment company, and commodities regulatory issues to establish a framework to permit the client's underlying investment advisory clients to participate in various investments that they would not otherwise be permitted to invest in because of the very large minimum investment amounts required per investor.
Defended broker-dealer through trial in lawsuit concerning due diligence performed as lead underwriter on bond deal.