We serve as securities and corporate counsel to NYSE-, NASDAQ- and AMEX-listed companies across a wide swath of industries including energy, banking, real estate, healthcare, communications, manufacturing, and technology. We also advise closely-held and family-owned companies and their owners throughout all stages in the life-cycle of such businesses from start-up through sale. Our lawyers advise on corporate governance, regulatory compliance, securities law, state corporate law, and tax and benefits issues, and the firm offers a strong transactional practice in the areas of private equity, capital markets, joint ventures, and mergers and acquisitions.
Areas of Focus
Academic Institutions and Higher Education
The legal challenges facing academic institutions are unique and can touch almost every corner of the law. Day Pitney attorneys have familiarity with those needs and handle a wide range of legal matters for clients at all levels of academic institutions and higher education, including primary schools, secondary schools, prep schools, parochial schools, large public and private universities, small independent colleges and universities, community colleges and institutions affiliated with higher education.
With extensive experience in receiverships and out-of-court workouts, members of Day Pitney's Bankruptcy and Restructuring practice group are uniquely positioned to evaluate, advise on and implement strategic alternatives to formal proceedings in Bankruptcy Court. We move quickly by taking a proactive approach to our clients' issues with a focus on consensus building, where possible, and strong and aggressive litigation, when necessary.
At Day Pitney, we believe in providing end-to-end service so our clients are able to confidently address data privacy and protection and cybersecurity risks before these risks ever materialize. We have the capability to cost-effectively review existing enterprise-wide data privacy and protection policies, design and implement new policies when warranted, and plan for the effective management of the crises (and possibly litigation) that might arise as a result of a data breach. Drawing on our broad experiences in law, compliance, information technology, finance and public policy, Day Pitney's Cybersecurity and Data Protection practice group is well-positioned to provide sound, innovative advice on continuously evolving cybersecurity and data privacy and protection issues across all business sectors.
Our Employee Benefits and Executive Compensation practice group provides sophisticated planning and consulting services to our clients with respect to issues affecting pension and welfare benefit plans and executive compensation arrangements under the Internal Revenue Code, ERISA, and federal and state securities laws. We bring to our clients a powerful combination of technical and practical experience in this rapidly changing area.
Family offices are privately owned entities established by affluent families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members. Family offices can be formally structured or operated informally. In recent years, families of wealth have come to realize the many benefits of establishing a structured family office, including enhanced control, privacy and customization of their asset allocation, wealth and risk management, and an overall legacy plan.
There is no substitute for access to hands-on, practical legal advice when you need it, especially coming from a lawyer who knows your business and your industry. Day Pitney General Counsel Services (DPGC Services) adds to your management team an experienced legal counselor who has been in the business trenches, often in your industry. We have assembled a diverse team of Day Pitney General Counsel (your DPGC) who have served in general counsel and senior legal positions and as owners and executives of private and public companies, funds, and investment banking firms. Armed with this real-world industry experience, your DPGC will devote the time to learn your business and will be backed by the broad legal capabilities of Day Pitney.
Lawyers at Day Pitney assist foreign, multinational and domestic clients in a broad range of cross-border commercial endeavors, as well as finance and investment transactions, locally, across the United States, and around the world. We routinely advise clients with respect to areas of the law specific to the cross-border activity, including extraterritorial aspects of U.S. income taxation and intellectual property rights. A core service we provide is assisting in structuring inbound and outbound business and financial relationships.
Mastering the regulatory, compliance and formation/maintenance challenges facing broker-dealers, investment advisers (including advisers to private funds), investors in private funds and boutique investment banks requires a thorough understanding of these firms’ business models and the complex and constantly evolving laws, rules, regulations and industry practices in this area. We understand the unique challenges that heavily-regulated financial firms face, in part because several members of our team have served as in-house counsel and principals for registered broker-dealers, investment advisers and hedge funds.
Our clients say Day Pitney’s Mergers and Acquisitions team is "unmatched in their dedication and responsiveness" and have told Chambers USA that we pride ourselves on maintaining "a deep understanding of their business." We serve as counsel on all aspects of middle-market transactions. We advise targets, acquirers and investment banks in both the fast-paced public company mergers and acquisitions practice and the more laborious private M&A that includes the often hotly disputed working capital adjustment and indemnification caps.
Day Pitney's Private Companies practice group renders services to closely held and family businesses. These services include: Formation of corporations, partnerships and limited liability companies; LLC operating agreements, stockholder agreements and partner agreements; Employee compensation agreements, benefit plans and stock option plans; Acquisitions and divestitures of businesses and product lines; Debt and equity financing; Commercial contracts; Trademark, patent and intellectual property advice, including licensing; Real estate purchases, leases and financing; Succession planning and related estate planning; Litigation and alternative means of dispute resolution.
Day Pitney's attorneys have significant experience representing private equity and venture capital funds in several capacities. In addition to our involvement forming venture capital funds, leveraged buyout (LBO) funds, real estate funds and many different kinds of hedge funds, the firm's attorneys have also represented institutional, individual investors, venture capital funds and family offices in connection with their strategic investment transactions.
Public Companies, Securities and Capital Markets
Day Pitney advises and represents leading public companies and financial institutions. Our skilled Securities Practice draws on substantial experience and deep industry knowledge in counseling clients on matters ranging from regulatory compliance and governance to mergers and acquisitions and securities offerings. Our attorneys are recognized for providing sophisticated, insightful and innovative advice on complex securities matters and effectively representing public and private companies, issuers, underwriters, market participants and banks.
"In flux" is one way to describe the many and ever-changing federal, state and local laws and regulations governing the production, distribution and sale of medical and recreational marijuana as well as other controlled substances. While not as tumultuous, the regulation of alcohol remains a challenging landscape for those who are interested in entering into the business. Day Pitney's Regulated Substances practice group advises a diverse group of clients across the nation to implement innovative solutions into this complex regulatory landscape.
Clients rely on us for advice on the tax aspects of their businesses and personal affairs. Our tax clients include Fortune 500 companies, large private companies, real estate companies, startup ventures and individuals. The firm's tax lawyers counsel clients in virtually every area of tax law likely to be encountered in their pursuit of business or personal objectives.
On November 17, Day Pitney Data Privacy, Protection and Litigation Co-chair William Roberts was a panelist on the "Cybersecurity – Protecting Your Business," webinar hosted by the Worcester Business Journal, and sponsored by Middlesex Savings Bank.
Day Pitney Family Office Associate Jaclyn M. D'Esposito authored an article with Family Office Exchange's Chief Learning Officer Mindy Kalinowski titled, "The Rising Generation's Role in Family Offices," for WealthManagement.com.
Day Pitney Attorneys Joseph H. Fagan, Harold M. Blinderman, Margaret Czepiel and Samantha Regan authored the article, "FERC Issues Two Policy Statements Impacting Natural Gas Infrastructure Projects," for Pratt's Energy Law Report.
Day Pitney Investment Management Partner Eliza Fromberg and White Collar Partner Sarah Krissoff were both featured in the Bloomberg Law article, "SEC's Kardashian Case, Marketing Rule Aim to Reveal Paid Ads."
Day Pitney Senior Associate Alan Ruiz has been appointed to the Board of Directors for the Center for Children’s Advocacy in Connecticut, which is the largest children’s legal rights organization in New England.