Acquisition Transactions

• Representation of an auto supplier in the sale of equity at a purchase price in excess of $100 million.
• Representation of automotive suppliers in connection with the sale of lighting business.
• Representation of investment adviser with over $2 billion in assets under management in a sale to a public Australian company.
• Representation of investment adviser with $1 billion in assets under management in a sale of assets.
• Representation of physical rehabilitation centers in connection with a merger into a subsidiary of a publicly traded company and subsequent re-purchase of assets.
• Representation of publicly traded steel tubing company in connection with a series of strategic acquisitions.
• Representation of technology company in connection with acquisition of technology assets from financially troubled company.

Automotive Experience

• Lead supply chain gap review of worldwide supply chain.
• Lead contract review teams supporting automotive suppliers.
• Represent automotive joint ventures in an outside general counsel role.

Investment Adviser and Money Management Experience

• Investment adviser and broker-dealer compliance issues.
• Advise investment advisers in connection with SEC inspection and enforcement matters.
• Compliance and procedure manuals, new account forms, client services agreements and representative agreements.
• Contract drafting, reviews, analyses, and negotiations creating and terminating various vendor relationships
• Drafted wide range of service agreements between investment advisers and vendors including, for example, subadviser agreements, solicitation agreements and investment adviser representative agreements.
• Formation, registration, and regulation of investment advisers under federal and state securities laws.
• Advise firms regarding Regulation S-P, Consumer Financial Privacy and Information Security.

Venture Capital and Private Equity Transactions

• Representation of various venture capital funds in connection with initial, follow on and down round financings.
• Representation of a technology company in issuance of $22 million dollars in secured convertible promissory notes and warrants and over $30 million in preferred stock.
• Representation of a tubing company in connection with the issuance of junior subordinated secured promissory notes and warrants.
• Representation of the general partners and managers in connection with the formation of venture capital, angel investment, hedge and private equity funds, including preparation of private placement memorandums, partnership or operating agreements, management agreements, subscription materials and ancillary agreements

Minority- and Woman-Owned Business Experience

• Assisting clients in certification as a woman- or minority-owned business enterprise.
• Contract drafting and negotiation of joint ventures involving women- and minority-owned businesses.
• Preparation of private placement memorandum and ancillary documents in connection with capital raising for women-owned businesses.
• Drafted and negotiated buy-sell agreements and third party vendor agreements.