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Barton’s practice spans the spectrum of today’s key financial players. Our attorneys represent domestic and foreign lenders, hedge funds, private equity funds, venture capital funds, broker-dealers, registered investment advisors (RIAs), investment banks, and other entities active in the capital markets.

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Many of our attorneys have spent significant portions of their careers in the financial industry and are thus aptly suited to assist clients in navigating its nuances.

Amid a shifting regulatory landscape, Barton aids clients in remaining compliant under SEC and FINRA regulations, while providing representation during arbitration or litigation if the need arises. Among others, claims such as fraud, breach of fiduciary duty, and insider trading can cause irreparable harm to a financial institution’s or individual’s reputation if not handled professionally and efficiently.

Furthermore, Barton regularly advises these institutions on corporate restructuring, business transactions, PIPE investments, mergers and acquisitions, sale of preferred stock, and divestitures. Additionally, Barton’s cybersecurity team maintains a robust working knowledgeable of current cybersecurity and data privacy measures for preventing the breach of sensitive information. Our team routinely advises financial institutions on best practices and effective protocols for minimizing the risk of a cyberattack.
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Related News
Partner James Heavey Quoted in InvestmentNews Article on DOL’s New Fiduciary Rule
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Finance

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Representative Matters
  • Represented Hedge Fund in Insider Trading Investigation
    • Represented a hedge fund in parallel DOJ and SEC investigations into insider trading; conducted numerous interviews and managed document review of internal investigation; worked closely with the client to achieve a highly favorable settlement with the SEC; was involved in every aspect of the external and internal investigations.
  • Represented Capital Management Firm and Board Designees
    • Represented Vintage Capital Management and its board designees in connection with a public company’s proposed acquisition of multiple targets, including Vitamin Shoppe, in excess of $500 million, which included, among other things, defending against disclosure and other claims in the Delaware Chancery Court.
  • Successfully Defended Securities & Wire Fraud Indictment Brought by Westchester DA
    • Successful defense of one of the largest securities and wire fraud indictments of the President and CEO of a private financial services firm brought by the Westchester District Attorney’s Office, New York.
  • Defended Against 10b-5 Shareholder Suit
    • Defended GMG Capital Partners in a Section 10b-5 shareholder securities fraud case which was dismissed on summary judgment in the Southern District of New York.
  • Aided in Secondary Sale of Units by JP Morgan to Goldman Sachs
    • Represented a major venture capital fund in the successful secondary sale of units by JP Morgan to Goldman Sachs Management entity.
  • Formed Series of Special Purpose Vehicles for Arrowhead Capital
    • Represented Arrowhead Capital LLC regarding the formation of a Series of Special Purpose Vehicles in the Cayman Islands for offshore investments.
  • Represented Korean Securities Firms in FINRA Arbitration
    • Represented Korean securities firms in FINRA arbitration against a former executive and a simultaneous state court lawsuit brought by the former executive. Successfully appealed and obtained reversal of the trial court’s denial of our motion to compel arbitration, ending the court litigation and forcing the former executive to submit to a more favorable FINRA arbitral forum. 
  • Represented Banking Group in $1.83 Billion Acquisition of Pension Group
    • Represented a Mexican banking group in its USD 1.83 billion acquisition of a Mexican pension group from a European-based financial services group to create Mexico’s largest pension plan. The transaction was awarded the 2013 Domestic M&A Deal of the Year by LatinFinance.
  • Obtained Multi-Million-Dollar Award for Capital Placement Agent
    • Represented a third-party capital placement agent in FINRA arbitration against a former client fund manager to recover placement fees. Obtained a multi-million-dollar award for the client after a five-day arbitration hearing.
  • Represented Hedge Fund in $28 Million Load Trade Litigation
    • Represented a hedge fund in a litigation involving an alleged failed $28.125 million load trade. The case was favorably settled through mediation.
  • Obtained Multi-Million-Dollar Settlement for Leading Hedge Fund
    • Represented a leading hedge fund in a dispute with a major bank regarding the distribution of trust assets pursuant to a written agreement and obtained a multi-million-dollar settlement in an arbitration proceeding before a former federal judge.
  • Won Summary Judgment for Private Equity Fund in “Break-up Fee” Suit
    • Represented a private equity fund in a lawsuit to recover a “break-up fee” after the collapse of a $75 million financing deal; won summary judgment, which was upheld on appeal.