Mr David Dickstein > Katten > New York, United States > Lawyer Profile
575 MADISON AVENUE
NEW YORK, NY 10022-2585
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Mr David Dickstein
Financial Markets & Funds
David Dickstein addresses a wide range of regulatory and compliance issues for investment advisers, hedge and private equity funds.
David regularly counsels investment advisers on matters such as the need for registration, Form ADV matters, disclosing conflicts of interest, compliance policies and procedures, rules on personal trading, marketing materials and federal and state pay-to-play and lobbying registration matters. Clients also frequently seek David’s assistance with SEC examinations.
David also advises brokerage and advisory firms on soft dollars and best execution, wrap-fee programs, trade allocations, marketing arrangements and bad actor matters. In addition, he conducts compliance audits and provides advice on SEC investigations.
JD, Columbia Law School; BA, Yeshiva University, magna cum laude
Top Tier Firm Rankings
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Finance > Structured finance: derivatives and structured products
- Finance > Structured finance: securitization
- Investment fund formation and management > Alternative/hedge funds
- Intellectual property > Copyright
- Dispute resolution > Securities litigation: defense
- Intellectual property > Trademarks: litigation
- Industry focus > Transport: aviation and air travel - finance
- Dispute resolution > Financial services litigation
- Media, technology and telecoms > Media and entertainment: litigation
- Media, technology and telecoms > Media and entertainment: transactional
- Real estate > Real estate
- Finance > Restructuring (including bankruptcy): corporate
- Industry focus > Sport
- Dispute resolution > General commercial disputes
- Industry focus > Healthcare: service providers
- M&A/corporate and commercial > Venture capital and emerging companies
- Tax > US taxes: non-contentious
- Finance > Financial services regulation
- Finance > Commercial lending
- Dispute resolution > Corporate investigations and white-collar criminal defense