Notable Transactions

The following represents a selection of notable transactions offered by the firm's founders.

SECURITY TOKEN OFFERINGS

STO for Blockchain-Based Security Token Marketplace Platform

Represented a US issuer in connection with launching a $30M security token offering (STO) in the US for developing a blockchain-based security token marketplace for issuers to connect with investors.

Regulation Crowdfunding STO Pre-Sales

Represented US issuer in conducting token pre-sale in reliance on Reg CF for a token curated registry for consumer health products that meet quality standards.

Represented US issuer in conducting token pre-sale in reliance on Reg CF for blockchain based platform dedicated to improving access to financial services.

STO for Electric Vehicle Company

Represented various companies (from mid market to startup) in strategic deals, including licensing and service engagements, with Fortune 500 companies such as Disney, New York Times, Ubisoft, JetBlue, Salesforce and Gallo.

STO for Tokenized Fund Investing in Mining Operation

CORPORATE FINANCING TRANSACTIONS

Represented regional HMO in $20MM preferred unit financing.

Represented various startups in seed financings with angel investors, incubators, accelerators, ranging from $25,000 to $750,000.

Represented various companies in convertible note financings totaling in excess of $25MM.

Represented various entertainment and film production vehicles in equity financing rounds of up to $5,000,000.

Represented various mid-market companies in private equity financings and debt financings.

FUND RELATED MATTERS

Served as U.S. counsel to SEC registered investment adviser in establishing British Virgin Islands master feeder fund with a global macro value focus.

Represented former Goldman trader in registering as a CPO with the Commodity Futures and Exchange Commission in connection with structuring his statistical arbitrage fund.

Represented NYC based manager in forming and structuring first-loss multi-strategy hedge fund and negotiation of side letter agreement with third party managers.

Registered investment adviser in Texas and structured his multi-class REIT focused fund where no performance or management fee was payable but manager was compensated with dividends on levered investments.

Served as US counsel to Hong Kong based manager in established of BVI registered management company and fund with global macro and options focused strategy.

Represented NYC based manager in establishing fund and investment management entities to pursue volatility arbitrage based investment strategy.

Represented Louisiana based CPO in connection with claims brought against manager by the CFTC for violations for Commodity Exchange Act.

Advised client in structuring his investment management company to sell interests to seed investors and protect IP in his proprietary trading technology.

Structured real estate focused private equity fund focused in student housing with $800 million in target commitments.

Represented RIA in establishing “hybrid” hedge fund with a private equity fund of funds and liquid investment strategy.

Represented manager is establishing off-exchange retail forex focused fund.

Served as U.S. counsel for master feeder fund investing in municipal real estate tax lien obligations.

Represented Hong Kong based manager in formation of BVI credit fund.

Represented manager in formation of venture capital fund focused on start-up technology companies.