VCExperts Publishes Day Pitney Article on SEC's Crackdown on Investment Adviser Compliance Deficiencies

Publisher: VCExperts

February 3, 2012

Day Pitney Author(s) R. Scott Beach Henry Nelson Massey

VCExperts published a client alert by Scott Beach, Hank Massey, Jonathan Morris, Jane Broderick and Sam Jennings that warns of an SEC crackdown on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended. The article highlights three cases, in particular, that point to the penalties one may face if they disregard SEC compliance.

On January 15, Brian Fischer spoke at "When Good Deals Go Bad – Pitfalls to Avoid During the Sale Process," an Exit Planning Exchange (XPX) program held at The Hartford Club in Hartford, CT.

January 15, 2020

Exit Planning Exchange (XPX), The Hartford Club, Hartford, CT

Starting Your Healthtech Company

On January 8, David Waizer gave a presentation, "Starting Your Healthtech Company," to the Biomedical Entrepreneurship Network at Robert Wood Johnson Medical School – Rutgers.

January 8, 2020

Rutgers Robert Wood Johnson Medical School, New Brunswick, NJ

Day Pitney’s Healthtech Investor Forum

Day Pitney LLP, together with PDB FutureCom International, hosted an invitation-only Healthtech Investor Forum for family offices and high net worth individuals interested in healthtech investing at the Boca Beach Club in Boca Raton, FL.

November 6, 2019

Boca Beach Club, Boca Raton, FL

Federal Tax Institute of New England

October 24, 2019

Partners Edward Krzanowski, Tiana Gianopulos and Daniel Gottfried spoke at the 2019 Federal Tax Institute of New England, a CLE program presented by the Estates and Probate Section and the Tax Section of the Connecticut Bar Association and held in Portland, CT.

October 29, 2019

Federal Tax Institute of New England, Portland CT

ARRC Releases Recommended LIBOR Fallback Language for Bilateral Business Loans and Securitizations

June 11, 2019

Day Pitney Alert

Day Pitney Welcomes Its Fall 2019 Incoming Associate Class

September 3, 2019

Day Pitney Press Release

Day Pitney Represents GHK Capital Partners in its Recapitalization of Brown & Settle, Inc.

March 7, 2019

Day Pitney Press Release

Day Pitney Named "Highly Commended" Best Private Client Law Firm at 2019 Private Asset Management Awards

February 11, 2019

Day Pitney Press Release

Day Pitney Shortlisted for Two 2019 Private Asset Management Awards

December 10, 2018

Day Pitney's Family Office and Trusts and Estates practices have been shortlisted in two categories, "Best Private Client Law Firm" and "Best Trusts and Estates Division," for the 2019 Private Asset Management Awards.

Day Pitney Shortlisted for Family Wealth Report "Legal Team of the Year" Award

November 27, 2018

Day Pitney's Family Office and Trusts and Estates practices have been shortlisted in the "Legal Team of the Year" private client category for the 2019 Family Wealth Report Awards.