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Corporate

The Corporate Practice Group provides:

  • Sophisticated legal representation for corporations and entrepreneurs. Our clients value our responsiveness, expertise and business perspective on difficult legal issues.
  • General and securities counsel to new business ventures, mid-size public and private companies and seasoned corporations.
  • Outsourced in-house counsel services and general counsel support services on a flat fee or hourly basis.  We act as general counsel to our corporate clients without an in-house staff or supplement the depth and scope of corporate legal departments.

Our Practice includes the following:

  • Bankruptcy and Financial Restructuring
  • Broker-Dealers and Investment Advisors
  • Capital Markets and Corporate Finance
  • Executive Employment Agreements
  • Hedge Funds
  • In-House Legal Services
  • Mergers and Acquisitions
  • Private Equity
  • Regulatory Proceedings
  • SEC Disclosure and Securities Regulation
  • Technology and Intellectual Property

Representative Matters:

Our corporate and broker-dealer group has been retained by Sandlapper Financial, a broker-dealer and investment advisor firm located in South Carolina, to represent it in the acquisition of a similar firm, also located in South Carolina. The firm to be acquired has over $250 million in assets under management. We are negotiating the acquisition terms, including cash and earn out provisions and assisting our client with regulatory filings with the SEC and FINRA. FINRA is the self regulatory authority for the broker-dealer industry. We have also assisted our client with legal due diligence on the selling firm. The selling firm is represented by the Atlanta office of Sutherland Asbill & Brennan LLP. We will continue to represent the combined firms. We are also assisting our client with investment banking transactions, including a public offering for one of their clients.

Richard Cahan and Brian Daughney assisted a client in creating a real estate investment fund in Naples Florida. The client was a special purpose vehicle created to raise funds in a private placement offering under Regulation D of the Securities and Exchange Commission rules, with the intended proceeds to be used to invest in real estate. Investors recently received a 200% return on their investment and the client is terminating the fund. Mr. Cahan and Mr. Daughney created an asset protection corporate structure of tiered limited liability companies in conjunction with an offshore asset protect trust in connection with the transaction.

Our team obtained a highly favorable resolution of a FINRA (Financial Industry Regulatory Authority) investigation into trade practices of our client, a leading financial service firm. FINRA had delivered a “Wells Notice” giving it one opportunity to make a submission why it should not be charged with violation of applicable FINRA rules and subject to substantial fines and other disciplinary action. FINRA was alleging significant trade reporting violations. Attorneys Robert Rabinowitz, Brian Daughney and Steven Glauberman working with the client prepared the submission to FINRA.

FINRA concluded not to pursue further proceedings against the client and instead issued a “minor rule violation” letter for resolution of the charges under consideration by FINRA. The fine imposed was limited to $2,500, substantially below those fines imposed in similar situations by FINRA’s Department of Market Regulation. Our client’s Chief Compliance Officer lauded the result and commented to the team working on this matter, “This is a very favorable outcome”.

Name Title Phone V-Card Email Office
Richard J. Alan Cahan Special Counsel 305.260.1012 Miami
Frank J. Campoamor Of Counsel 239.552.3205 Naples
Adam M. Cohen Shareholder 954.364.6030 Ft. Lauderdale
Brian Daughney Shareholder 212.599.3322 New York
Victor J. DiGioia Office Managing Partner, New York 212.599.3322 New York
Oliver Edwards, VI Of Counsel 212.599.3322 New York
Oliver Edwards, VII Attorney 212.599.3322 New York
Steven L. Glauberman Shareholder 212.599.3322 New York
Michael A. Goldstein Shareholder 212.599.3322 New York
Stanley R. Goldstein Shareholder 212.599.3322 New York
Curtis B. Hunter Shareholder 305.260.1043 Miami
Sarah Klein Attorney 212.599.3322 New York
Adam Kravitz Of Counsel 305.262.4433 Miami
Albert K. Lawler Of Counsel 212.599.3322 New York
Robert I. Rabinowitz Shareholder 732.842.1662 Red Bank
Jie Xiu Shareholder 212.599.3322 New York