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Our Investment Management Litigation Group helps the full spectrum of investment management clients safely navigate high-stakes disputes and regulatory investigations. Representing alternative asset managers across the investment spectrum, including private equity funds, credit funds, hedge funds, venture capital funds, real estate funds, hybrid funds, mutual funds and family offices, we bring to each engagement a nuanced understanding of the industry, investment products and emerging priorities of key regulators.

Our Practice

We represent investment management clients in the full spectrum of matters, including:

  • Investor litigation (both defense and plaintiff-side)
  • Criminal and regulatory investigations and enforcement proceedings
  • SEC and FINRA examinations
  • Upper-tier disputes
  • Internal investigations
  • Employment disputes, including whistleblower complaints
  • Seed deal and joint venture disputes
  • Material Nonpublic Information (MNPI) and related trading advice
  • ESG-related risk mitigation and value creation

Dispute Resolution

Drawing upon both our renowned Litigation Department and the unparalleled subject matter expertise of our Investment Management Group, our Investment Management Litigation team offers significant advantages in handling any and all kinds of civil litigation a fund manager might face, including investor disputes and derivative litigation. Our litigators—who have significant subject matter expertise—collaborate with colleagues across the firm to provide our investment management clients with holistic, pragmatic advice aligned with their business needs.

Regulatory & Internal Investigations

In addition to our extensive litigation capabilities, our Investment Management Litigation team is also adept at representing funds and their executives in regulatory enforcement proceedings, individual white collar matters, internal investigations and other significant matters brought by every conceivable governmental and regulatory agency, including the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), state attorneys general and self-regulatory organizations.

Crisis Management

When alternative asset managers face a crisis situation—an investment that hits a crisis, a bitter internal dispute, an investor complaint, a purported whistleblower, and more—we are prepared to spring into action and deploy our deep experience in these kinds of matters. We help alternative asset managers respond to fast-moving, multifaceted crises and other firm-defining events, mitigating potential liability and reputational damage. Our work in this area encompasses highly sensitive internal investigations, and advice on minimizing future litigation and regulatory risk, including the development and strengthening of compliance structures and processes. And we are deeply experienced in managing investor communications, regulator communications, and public and press strategies. In these circumstances, managers need crisis counsel as much as legal counsel, and our team is prepared to provide both.

Often, our greatest successes lie in matters that cannot be publicly disclosed: persuading a regulator not to bring charges; mediating and resolving disputes among partners; or defusing charged disputes with disgruntled employees or investors.

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