Securities Industry

Securities Entity Formation

Transactional Experience

  • Represented a specialty freight forwarding and logistics company in a $2.8 billion acquisition by a private equity firm.
  • Advised a private equity fund with investments of $1.5 billion on various investments in portfolio companies.
  • Represented a broker-dealer in a $750 million capital raise for a 3(c)7 hedge fund.
  • Represented a broker-dealer in a $600 million capital raise for a 3(c)7 hedge fund.
  • Represented a specialty freight forwarding and logistics company in a $185 million investment by a private equity firm.
  • Represented a broker-dealer in a $75 million capital raise for a public company.
  • Represented an Ohio-based food package/distributor in a $27 million sale of its assets, including its real estate. (Venture capital firm involvement).
  • Represented Capco Partners, Ltd., an accredited investor fund with $25 million under management, on hedge fund transactional matters.
  • Represented a Philadelphia-based private equity and mezzanine investment group, an accredited investor fund with $25 million under management, on hedge fund transactional matters.
  • Represented a capital markets advisory group as general counsel in their expansion activities, broker-dealer work and coordination of expansion into Europe.
  • Represented an early-stage biotechnology company in connection with a venture capital investment and a spin-out of chronic wound treatment technology from a large publicly traded health care company.
  • Represented a medical device developer and manufacturer in its sale of Series B Preferred stock. The transaction involved two venture capital firms.
  • Represented a hedge fund in a transaction by engaging to issue 40 Act opinion. The transaction was not approved by the board.
  • Represented a hedge fund in a conversion of Pennsylvania corporation into a Delaware trust.
  • Represented a hedge fund in a credit extension, issuing legal opinions.