Futures and Securities

We have counseled clients operating in many areas across the financial services industry, including banks, private equity groups, hedge funds, proprietary traders and family offices.

Our work has included representation of a mortgage backed security issuer and investors in dealings with approved mortgage lenders and servicers and their respective business practices. We have represented banks and other lenders in loan and work-out transactions, as well as other creditors in bankruptcy proceedings and work-outs. We have represented financial institutions in borrower class actions and have prevented class certification in several matters.

For private equity groups we have provided assistance in connection with all aspects of their acquisitions and exit transactions, including negotiating confidentiality and non-disclosure agreements and letters of intent, performing legal due diligence, structuring and negotiating the underlying transactions, negotiating related agreements with management, establishing special purpose investment vehicles, preparing private placement memorandum, and securing related intellectual property rights.

We have assisted registered Broker Dealers, Investment Advisers, Introducing Brokers, Commodity Trading Advisers and other financial managers, traders and investors in establishing and operating their respective businesses in the United States. We have also assisted financial service providers in establishing their operations in Europe, Asia and the Caribbean.