- News & Publications
- Faith Colish Speaks about Finders and Capital Raising at the ABA Business Section Annual Meeting
Counsel Faith Colish served on the panel “Finding Capital: Broker-Dealer Registration after Paxton and Kramer” at the ABA Business Law Section Annual Meeting in Chicago on September 14. The panel discussed the role of finders in the capital raising process, and in particular discussed several recent court decisions which considered whether intermediaries that assisted in raising capital were required to register with the SEC. Ms. Colish contributed to the ABA Task Force’s 2005 Report on Private Placement Brokers while she was a member of the Task Force; then Co-Chaired that Task Force from 2005 until 2011, and has been Chair Emerita since 2011. Ms.. Colish was instrumental in obtaining an SEC M&A Broker No-Action Letter issued January 31 and amended on February 3, 2014 which permitted some M&A brokers to operate without SEC registration.
For further information, please refer to Carter Ledyard Client Advisory, "CL&M Lawyers Instrumental in Obtaining SEC No-Action Letter to Permit Some M&A Brokers to Operate Without SEC Registration" at http://www.clm.com/publication.cfm?ID=482
Ms. Mann was asked to comment on the lawsuit alleging that the Trump Foundation charity used funds for personal and political purposes.
Carter Ledyard is pleased to welcome the arrival of Ms. Dreizen to the firm as Counsel in the Corporate department.
Partner Steven Paul McSloy gave a presentation at the Consulate General of Ireland in NYC on “The American Indian as Irishman: The Lost Connection”
Carter Ledyard client Global SC Finance IV Limited completed an offering of $196 million of fixed rate asset backed notes.
Judith discusses the benefits and risks of arbitration of art disputes in the newly created process at the Netherlands Arbitration Institute.
Jack was honored with the Chairman's Award, in recognition of his "tireless efforts and unending dedication to the foundation."
Mr. McCarthy has joined the firm as a partner in the Litigation Department, bringing with him years of experience in international litigation and arbitration.
Our 2017 Year in Review highlights the cutting-edge work of our clients, both foreign and domestic, and some of the ways we helped them succeed.
Over breakfast at the midtown office, more than 30 members of the private equity community gathered to create a deal flow for all concerned.
Val Vasi discussed aint-money laundering (AML) guidelines in the art world and AML regulations in the financial services industry
Carter Ledyard client Lisa Schwarz, developer of the Comprehensive Resource Model trauma treatment model, prevailed on her motion for contempt against Dr. David Grand in proceedings in the Federal District Court for the…
Together with Her Justice, Carter Ledyard attorneys were successful in guiding pro bono clients apply for their U-Visa, obtain deferred and final approval of legal status, and receive employment authorization.