Samuel A. Jennings
Sam Jennings practices in the area of alternative investments, mergers and acquisitions, equity and debt financings, investment fund structuring and compliance, and the representation of start-up companies. Sam also counsels clients on general corporate and business issues for privately held companies in the investment, non-profit and start-up industries. Additionally, Sam works closely with our Individual Client attorneys to structure investments in alternative assets and to provide organizational and compliance advice to family offices.
Sam served as a judicial intern to the Honorable Robert B. Collings of the U.S. District Court, District of Massachusetts.
Representation of public pension plan for several $100 million-$1 billion private equity and hedge fund investments, including off-shore investments in Bermuda and Cayman funds, and Separately Managed Accounts focusing on agriculture, timberland and infrastructure investments in BRIC regions.
Representation of three national airline pension plans in $1 billion reallocation of fund-of-fund investments into direct hedge fund investments.
- Representation of regional utility company for multiple tax-exempt financings including structuring and placement of $250 million conduit-financing bonds.
- Representation of venture-backed emerging technology companies in connection with several acquisitions and financing arrangements.
- Representation of several established and emerging investment adviser entities on compliance issues, with special attention to Dodd-Frank impact on investment adviser registration and regulation.
- Counsel to a New England liberal arts college for a two-year project to modernize the College's governing documents.
News, Publications & Presentations
- Co-author, "SEC focusing on B-D registration issues for private-fund managers," Investment News, May 12, 2013
- Co-author, "Increased SEC Focus on Broker-Dealer Registration Issues for Private Fund Managers," Day Pitney Alert, April 12, 2013
- Co-author, "SEC Finds Fault with Adviser Custody Practices," Day Pitney Alert, March 8, 2013
- Co-author, "CFTC No-Action Relief for Funds-of-Funds," Day Pitney Alert, December 11, 2012
- Co-author, "Updated SEC Guidance on the Family Office Exclusion," VCExperts, June 5, 2012
- Co-author, "Updated SEC Guidance on the Family Office Exclusion," Day Pitney White Paper, March 2, 2012
- Co-author, "Regulators Issue Guidance on Use of Social Media by Investment Advisers," Day Pitney Alert, February 8, 2012
- Co-author, "SEC Crackdown On Investment Adviser Compliance Deficiencies," VCExperts, February 3, 2012
- Co-author, "Recently Adopted Fund Manager Reporting Obligations," VCExperts, December 15, 2011
- Co-author, "Targeting Adviser Compliance Deficiencies," Law360, December 12, 2011
- Co-author, "SEC Crackdown On Investment Adviser Compliance Deficiencies," Day Pitney Alert, December 1, 2011
- Co-author, "Newly Adopted Fund Manager Reporting Obligations," Day Pitney Alert, November 4, 2011
- Co-author, "CT Department of Banking Releases Orders Clarifying Investment Adviser Registration and Regulation," Day Pitney Alert, July 15, 2011
- Co-author, "SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration and Exemption Requirements," Day Pitney Alert, July 11, 2011
- Co-author, "Confidential Commercial Documents in the SEC's Investigative Files: Caution to the Complacent," Securities Regulation Law Journal, Fall 2010
- "Dodd-Frank Act Impact on Investment Advisers and Private Investment Funds," Day Pitney Alert, July 23, 2010
- Co-author, "Financial Regulatory Reform: Banking Provisions," Day Pitney Alert, July 16, 2010
- Co-author, "Investment Management Compliance Update: SEC Adopts Pay-To-Play Rule For Advisers," Day Pitney, July 16, 2010
- Co-author, "Connecticut Supreme Court Refines the 'Piercing the Corporate Veil' Doctrine," Day Pitney Alert, April 20, 2010
- Co-author, "Connecticut Proposes Conflict-Of-Interest Disclosure Requirements For Managers To Private Investment Funds," Day Pitney Alert, March 31, 2010
- Co-author, "Globalization and the Stream of Commerce: New Jersey Expands Its Personal Jurisdiction Doctrine in Products Liability Cases," Day Pitney Alert, February 25, 2010
- Co-author, "Federalist 78 and the Connecticut Constitutional Convention of 1818," Connecticut Supreme Court Historical Society, Connecticut Supreme Court History, Vol. III, July 2009
- Northeastern University School of Law, J.D., 2009
- Brown University, A.B., 2004
- Commonwealth of Massachusetts
- State of New York
- State of Connecticut
- American Bar Association
- Boston Bar Association
- Association for Corporate Growth - Boston Chapter