Investment Management and Financial Services

Our international and domestic investment management engagements cover a broad spectrum of legal and regulatory matters confronting investment managers, advisers and mutual funds, including the development of new and innovative products. We also have substantial experience with commercial transactions involving investment vehicles.

Business and Commercial Litigation

We have represented clients ranging from Fortune 500 companies to individuals in the prosecution and defense of virtually every type of business, employment, professional liability, labor, environmental, securities, real estate and insurance litigation in federal and state courts throughout the country, as well as in appellate matters. In addition, we have represented clients in prosecuting or defending claims arising out of mergers and acquisitions, public and private offerings, and breach of fiduciary duties or disclosure obligations under federal and state law.

Mergers and Acquisitions

We advise middle market companies in merger and acquisition transactions, typically in transactions with a purchase price of from $5 million to $100 million. These transactions often involve a deferred portion of the purchase price, whether structured as installments, earn-outs, indebtedness or other arrangements. Our advice addresses continuing employment relationships, non-competes, continuing services and other matters incidental to the transaction. Many, though not all, of our clients are engaged in the investment management industry and, in this context, we advise on regulatory matters unique to this industry.

Regulatory and Compliance

We advise companies with publicly traded securities on disclosure and other compliance issues and assist in preparing periodic SEC reports as well as filings triggered by special circumstances and extraordinary transactions. These include insider transactions, option and other equity-based compensation plans, spin-offs, going private transactions, tender offers, proxy contests, corporate restructurings and merger/acquisition transactions.

Corporate and Securities

We assist clients in determining the most advantageous structure and financing for their needs and provide advice on all aspects of raising capital, ranging from the issuance and sale of conventional debt and equity securities to extremely specialized asset-based financings. We serve as counsel to various participants in connection with private placements and public offerings.


Our tax practice focuses on the wide variety of critical issues related to federal, state and international income tax, property, sales and use taxes, and the other taxes and fees that impact our clients. We have a continuing focus on assisting clients in navigating the significant tax changes affecting, and anticipated to affect, the investment management industry. In addition to the industry specific tax issues, our tax practice includes the broader universe of federal, state and international tax issues affecting businesses and their owners in general.

Employment Law

We provide a wide array of Labor and Employment services, including trial, litigation and arbitration representation in actions involving claims for breach of contract, discrimination, “whistleblower” actions, sexual harassment, and wage and hours matters. In addition, we have represented employers in action against former employees for misappropriation of trade secret information, embezzlement, breach of confidentiality provisions and where enforceable, breach of covenants not to compete. We have also represented executives in compensation and severance arrangement negotiations. We also counsel employers, irrespective of size, on the preparation and review of employee handbooks, pre-disciplinary or termination counseling, negotiation of severance packages, reorganizations, reductions in force and plant closings (WARN Act and “BABY” Warn Act), wage and hour issues, and leave laws (FMLA and CFRA). We also conduct in-house seminars on sexual harassment rules and regulations.