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Boston
One International Place
Boston, MA 02110
T: (617) 345 4652
F: (617) 607 6093
Samuel A. Jennings
– Associate
Sam served as a judicial intern to the Honorable Robert B. Collings of the U.S. District Court, District of Massachusetts.
Professional Experience
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.
Practice Areas |
- Broker-Dealers, Investment Advisers and Commodities Firms
- Capital Markets
- Financial Services Regulation
- Mergers, Acquisitions and Joint Ventures
- Private Companies
- Private Equity and Investment Funds
Representative Matters |
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
Education |
- Northeastern University School of Law, J.D., 2009
- Brown University, A.B., 2004
Admissions |
- Commonwealth of Massachusetts
- State of New York
- State of Connecticut
Professional Affiliations |
- American Bar Association
- Boston Bar Association
- Association for Corporate Growth - Boston Chapter