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Profile Visibility  | | #51 in weekly profile views out of 1,455 lawyers in Stamford, Connecticut | | #21,763 in weekly profile views out of 936,562 total lawyers Overall |
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| Practice Areas | Securities Litigation; Investment Partnerships; Financial Services Regulation; Hedge Funds; Civil Litigation; Securities Regulation; Banks/Financial Institutions; Corporate Law; Internal Investigations; Investment Management; Venture Capital | | | Peer Review Rating | AV
Rated.
What's this? | | | Education | Fordham University, J.D., 1977, College of the Holy Cross, B.A., 1974 | | | Admitted | 1978, New York and U.S. District Court, Southern District of New York; 1982, Connecticut; 1983, U.S. District Court, District of Connecticut; 1996, U.S. Court of Appeals, Second Circuit; 2003, U.S. Supreme Court | |
| Memberships | Connecticut and American Bar Associations. | | | Born | New York, N.Y. | | | Biography | Member, National Moot Court Team. Attorney, Division of Enforcement, Securities & Exchange Commission, Washington, D.C., 1980-1982. Member, Board of Arbitrators, National Association of Securities Dealers, 1987—. Speaker: "Barriers to Entry in a New Legal and Regulatory Environment," Hedge Fund Incubation and Seeding Conference, January 30-31, 2006; "Hedge Fund Due Diligence," 2006 Lipper Fund Services Expo, January 12, 2006; 3rd Annual Hedge Funds Business Operations Forum, December 1, 2005, Moderator - Compliance Session; "The Custody of Client Assets and Amended Rule 206(4)-2," Managed Accounts Compliance Forum, November 29-30, 2005; "Is Third-Party Marketing the Right Approach for You?," Financial Research Associates, July 26, 2005; "Dealer's Choice: Buy, Sell or Merge Your Hedge Fund Business?," Lipper HedgeWorld Fund Services Expo, May 3, 2005; "When the SEC Comes Calling," Association of Corporate Counsel, May 21, 2004; "Fund of Funds - Special Legal Considerations for Managers and Investors," Financial Research Associates, January 17, 2002; "Compliance: Understanding the Legal Ramifications of Hedge Fund of Funds," Institute for International Research, May 31, 2001. Co-Author with Colby Jenkins, "The Future of Soft Dollar Practices in Light of New Hedge Fund Regulations," Alternative Investment Quarterly, Issue 13: Fourth Quarter, pp. 5-10, 2004. Author: "Compensation Issues and Trends in Structuring Agreements with an In-House Portfolio Manager," Alternative Investment Quarterly, Issue 12: Third Quarter, pp. 36-39, 2004; "Hedge Fund Practices of Brokers Come Under Close Scrutiny," Alternative Investment Quarterly, Issue 9: Fourth Quarter, pp. 23-26, 2003; "Positioning the New Hedge Fund for Capital," Alternative Funds Services Review, pp. 20-22, September/October 2003; "Hedge-Linked Notes as a Means to Hedge Fund Investing: Does it Justify the Hype?," ABANA Review, Vol. XX, No. 2, pp. 8-11, 15, Fall 2003; "Current Trends Affecting Flows to Hedge Funds, The Capital Guide to Hedge Funds 2003," pp. 67-70, January 2003; "Hedge Fund Marketing: Pros, Cons and Structuring Agreements with Third-party Marketers," Alternative Investment Quarterly, Issue 4: Third Quarter, pp. 11-15, 2002; "Hedge-Linked Notes as a Means to Hedge Fund Investing: Does it Justify the Hype?," Alternative Investment Quarterly, Issue 3: Second Quarter, pp. 24-28, 2002; To Register or Not: A Finder's Big Dilemma, The National Law Journal, B9, January 22, 2001. | | | ISLN | 902516708 | | | Transactions | Representation of Connecticut-based managers in the establishment of domestic and offshore hedge funds; Representation of commodity pool operators and broker dealers in applications for registration before the National Futures Association and National Association of Securities Dealers; Representation of third-party marketers in connection with distribution agreements with hedge funds and fund of funds; Representation of investor in Chapter 11 proceeding of a hedge fund and pre-petition efforts to effect priority of claim; Representation of an investor in a hedge fund attempting to obtain recission of his investment based on inadequate disclosure of fund's management, performance and investment strategy; Representation of in-house managers employed by major financial institutions in the negotiation, structuring and drafting of compensation packages; Defense of alleged tippees accused of insider trading in SEC enforcement action brought by Miami regional office; Defense of alleged tippee accused of insider trading in an action brought by the Securities and Exchange Commission and subsequent appeal to the Second Circuit Court of Appeals; Representation of a major international banking institution and primary dealer of the Federal Reserve in connection with various licensing applications before the State of Connecticut Banking Department. | |
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