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Investment Advisers and Asset Management Firms

Our Securities Enforcement & Litigation team has extensive experience representing investment advisers, private equity and hedge funds, and other asset management firms in regulatory examinations and inspections, SEC and other investigations, internal investigations, and securities litigation. Clients benefit from both our team's access to the firm's Investment Management practice—which better enables us to see around the corner when dealing with specific regulatory issues in an investigation or litigation—as well as from the insights of team members who are former SEC attorneys and understand regulators' approaches. Whether it's dealing with a traditional insider trading investigation or private litigation involving complex financial instruments, we have the knowledge and ability to guide our investment adviser and asset management clients through any securities issues they face.

Experience Highlights

  • Registered investment adviser with billions of dollars in 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.
  • Global investment management public company in (i) an SEC investigation and related SEC litigation involving insider trading and credit default swaps, (ii) an SEC investigation involving collateralized debt obligations and (iii) an SEC investigation involving insider trading and mutual funds.
  • Alternative investment firm in an internal investigation regarding a portfolio company and a derivative action involving claims of breach of fiduciary duty.
  • Global investment firm in (i) an SEC investigation involving insider trading and related issues, (ii) an FSA investigation involving insider trading and related issues and (iii) broker-dealer due diligence involving a transaction.
  • Private equity fund management company in an SEC investigation involving a Ponzi scheme orchestrated by an investment adviser that placed investors in the client's funds.
  • Hedge fund manager in (i) CFTC and SEC investigations into Treasury market trading, (ii) CFTC and SEC investigations into end-of-quarter transactions and (iii) a CFTC investigation into Exchange for Related Position trading.
  • Investment management firm in SEC and NYAG investigations and class and derivative actions alleging violations of the federal securities laws relating to market timing of mutual fund shares.
  • REIT sponsor and owner of investment advisers in SEC investigations, securities class actions and M&A litigation arising from the acquisitions and sales of REITs.
  • Asset management firm in litigation brought by senior noteholders in the Southern District of New York relating to certain collateralized debt obligations of which our client serves as the collateral manager.
  • Mutual fund investment adviser and distributor in class action and derivative litigation involving allegations relating to shelf-space and revenue-sharing payments to broker-dealers.

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