Investment Management

Barton attorneys are currently serving various sophisticated clients in the investment management industry. We routinely represent Registered Investment Advisors (RIAs), broker-dealers, private investment funds, investment banks, portfolio managers, and other financial planners of all sizes and scopes.

In an industry highly regulated by multiple agencies such as the SEC, IRS, DOJ, and FINRA, it becomes ever more important for our clients to remain compliant under the regulations set forth by these entities. Our team seeks to preemptively avoid compliance issues through the implementation of customized compliance protocols.

When necessary, we also see clients through investigations and litigations, acting as aggressive advocates on their behalves with respect to matters of fraud, breach of contract, unlawful competition, and misappropriation of information.

As an added value, many of our attorneys across multiple practice areas offer their skills and services to our investment management clients. We provide counsel regarding tax benefits, foreign investment, formation and governance, bankruptcy, and investment vehicle restructuring, among other things.

Work in this Area

Investment Management

Representative Matters
  • Tax Counsel to Canandian Investment Companies
    • Served as tax counsel to various Canadian investment companies in connection with their  establishment and issuance of publicly traded partnership interests.
  • Advised Issuers and Investment Banks Regarding PFICs
    • Advised both issuers and investment banks regarding the treatment of foreign corporations as to their status, or avoidance of status, as passive foreign investment companies (“PFICs”).
  • Defended Against Temporary Restraining Order and Preliminary Injunction
    • Successfully defended against the issuance of a Temporary Restraining Order and Preliminary Injunction claiming the misappropriation of confidential client information and breach of contract in New Jersey State Court against an advisor who departed from Edward Jones LLP and joined a competitor.
  • Represented RIA in 10b-5 Case
    • Represented an investment advisor against 10b-5 security fraud claims, prevailing on a motion to dismiss in the Eastern District of Pennsylvania and then successfully arguing on appeal to the Third Circuit which affirmed the District Court’s opinion.
  • Represented RIA in Suit Regarding Trade Secrets, Unlawful Competition
    • Represented a Tennessee-based Registered Investment Advisor (RIA) in a suit against former owners and employees regarding misappropriated trade secrets, confidential information retention, and unlawful competition. Subsequently filed arbitrations and successfully settled without the need for litigation.
  • Counseled Over 300 Firms and Financial Advisors
    • Counseled in excess of 300+ firms, registered representatives, and/or financial advisors in the transition between competitor firms, broker-dealers, investment advisory firms, or brokerage and fee-based employment.
  • Represented Broker-Dealer in Negotiating $20,000 Penalty
    • Represented a broker-dealer in negotiating a $20,000 penalty against a securities regulator for failure to have written supervisory procedures that addressed pricing reviews. The counter-party to those very same trades was sanctioned nearly $1,000,000.
  • Successfully Represented Broker-Dealer in Four-Year Investigation
    • Represented a broker-dealer client during a nearly four-year investigation and caused a securities regulator to relent in its claims that the client had duties to the customers of an investment advisor for whom the client executed trades.
  • Counsel to Investment Funds in Distressed Financing Situations and Bankruptcy
    • Represented investment funds in several distressed corporate financing and bankruptcy situations, including with respect to bankruptcy-related discovery and litigation.
  • Advised Asset Manager on Restructuring of $350 Million of Assets
    • Advised a Canadian asset manager on the restructuring of several private investment vehicles with assets totaling $350 million.
  • Negotiated Data Collection Contract Between Consultancy and Investment Bank
    • Negotiated a contract for data collection on a global basis between a consultancy and one of the largest investment banks in the world, with a particular focus on international data transfer laws and regulations.