Team

Dan primarily represents U.S. and non-U.S. investment managers, commodity pool operators, commodity trading advisors and private funds, including hedge funds, private equity funds and commodity pools.
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Debra works with sponsors and managers of various private investment funds and other pooled investment vehicles, including hedge funds, private equity funds, funds of funds, commodity pools, co-investment vehicles and various “hybrid” funds.
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Russell Johnston is a partner in the Firm’s Government Enforcement and Internal Investigations Group. He focuses on internal investigations, regulatory inquiries, enforcement actions, and compliance counseling. As both a former Senior Counsel in FINRA’s Department of Enforcement and in private practice representing financial institutions and individuals, he’s worked extensively on matters addressing anti-money laundering, anti-corruption, economic sanctions, securities fraud, market manipulation, sales practice supervision, market regulation, and the use of crowdfunding and digital assets.
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Robert is recognized as one of the country’s leading legal advisors in the financial services industry. He has represented major financial services companies, including banks, asset management firms, mutual fund complexes, trust companies, private wealth management firms and securities firms, in connection with a variety of regulatory matters and transactions, as well as litigation and compliance issues.
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Nick regularly advises sponsors and managers of private investment funds, including hedge funds and private equity funds, regarding formation, structuring and capital raising matters.  He has extensive experience structuring onshore and offshore investment vehicles, such as special purpose vehicles, co-investment vehicles, separately managed accounts and funds-of-one. In addition, Nick frequently counsels registered and unregistered investment advisers on regulatory compliance matters.
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Paul’s practice focuses primarily on registered investment companies, registered investment advisers and broker-dealers.  He has worked extensively on the full range of matters affecting registered funds, including their formation, their registration with the Securities and Exchange Commission under the Investment Company Act of 1940, their service provider arrangements with investment advisers, distributors, transfer agents and custodians and their ongoing regulatory reporting and compliance obligations.
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Philip advises companies and individuals on SEC enforcement matters, other regulatory and criminal enforcement investigations, internal investigations, and cryptocurrencies and blockchain technology.
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Joe works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various “hybrid” funds.
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David works with sponsors and managers of various private investment funds and other pooled investment vehicles, including hedge funds, funds of funds, commodity pools, private equity funds and various “hybrid” funds.
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With over 25 years of experience, Steve seeks to deliver a practical, solutions-based approach to his clients tailored to their particular needs. His ultimate goal for each engagement is to help drive business success, and not just provide strong legal advice. Through his large network, he is able to source industry trends and intelligence, which he seeks to impart on a real-time basis as part of his process to a wide variety of clients ranging from start-ups to very large, prominent institutions.
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Kevin works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various “hybrid” funds.
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Pat’s practice specialties include the representation of investment advisers and related regulatory compliance; the formation and representation of private investment partnerships, group trusts and various offshore investment vehicles; the formation and CFTC registration of commodity pools, commodity pool operators and commodity trading advisors; the formation and ongoing representation of registered investment companies (open-end and closed-end funds) and their managers, distributors, underwriters and other service providers; and general securities and general corporate matters.
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Christopher works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various “hybrid” funds.
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Rob specializes in the formation and representation of private funds (U.S., offshore, single and multi-strategy, fund of funds and private equity), investment advisers (federal or state registered and non-registered), broker-dealers, commodity pool operators and commodity trading advisors.
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Michael Watling is a partner in the Firm’s Government Enforcement and Internal Investigations Group. He represents financial institutions and executives in regulatory enforcement and white-collar matters. Michael is an experienced trial lawyer, having served as both a federal prosecutor in the U.S. Department of Justice (DOJ) Tax Division and as Senior Litigation Counsel in the Enforcement Department of the Financial Industry Regulatory Authority (FINRA).
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Alex specializes in the regulation of investment companies and advises public and private funds, investment advisers, and their service providers on a host of regulatory matters, including in the blockchain and cryptocurrency space. Her clients have included stand-alone funds, fund complexes, open-end funds, closed-end funds, ETFs, BDCs, transfer agents, registered and foreign advisers and ERAs, and a range of private funds.
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Jay Baroody is counsel in the Investment Management Group. He received a B.A. from the University of Texas at Austin, with high honors, Phi Beta Kappa, and attained his J.D. from Fordham University School of Law, cum laude.
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Kevin Cassidy is counsel in the Investment Management Group. He received a B.A., magna cum laude, from The George Washington University and a J.D. from Albany Law School, magna cum laude. While at Albany Law School, Kevin served on the editorial board of the Albany Law Review.
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Lance’s practice focuses on a broad range of regulatory, compliance, and transactional matters affecting investment companies and registered investment advisers. His experience includes counseling clients in the establishment, registration, and operation of registered investment companies; developing and reviewing compliance programs for investment companies and investment advisers; and counseling clients undergoing regulatory examinations.
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