Lawyers

Joseph is a partner in the Firm’s General Practice Group. His practice focuses on complex and challenging investment and securities matters. His clients include those who provide investment-related services as a business (such as broker-dealers, investment advisers, and other investment managers and funds) as well as a significant number of private individuals and family offices.
 

Joseph’s practice covers:

• Financings, M&A, seeding arrangements and other transactions
• Clients’ most important internal matters, including compensation, governance, succession, executive transitions and partnership economics
• Investments in securities and other asset classes, including issuer and underwriter representations and selected private fund formations
• Matters under the U.S. securities laws, including broker-dealer and investment adviser regulation; investor disclosure requirements; insider trading and related considerations; private placements; and resales of restricted securities

Joseph is a co-coordinator of the Firm’s Broker-Dealer Group and has served on the Steering Committee of the Managed Funds Association Outside Counsel Forum. He was named a “Next Generation Lawyer” by Legal500 US.

SELECTED REPRESENTATIONS

Family Offices and Individual Clients

• Over 40 distinct family offices, whose aggregate assets under management total more than $100 billion, in connection with a variety of investment, trading, regulatory and other matters, including a wide range of profit allocation and incentive compensation frameworks
• Several individuals with past or present service on public company boards, including with respect to 10b5-1 plans, other trading and estate-planning considerations and director independence guidelines
• Two individual principals in making a seed investment in a healthcare private equity manager
• Departing partners in several complex and high-value separations from large private fund managers
• A principal of an oil and gas operator in making a large minority investment in a working interest fund and several associated companies

Alternative Investment Management

Selected Transactions

• Breakthrough Properties in raising investment capital for the development of the Harvard Enterprise Research Campus
• J. Safra Sarasin Group in several significant private equity co-investment transactions
• Galaxy Digital in its organization, launch and initial public offering
• Wells Fargo in its acquisition of Analytic Investors
• Assembled Brands in Oaktree Capital Management’s investments in its lending businesses
• A startup merchant bank in its organization and financings
• Millstein & Co. in an equity investment by Third Avenue Management and other matters
• Genworth Financial in the sale of its asset management businesses to a private equity consortium
• RBC Capital Markets in its acquisition of the Carlin Financial Group broker-dealer

Other Matters in the Alternatives Space

Joseph has represented clients on both the management and investment sides in a wide range of transactional, regulatory, compensation and other matters in the alternative investment management space, including:

• AXA
• Bank of America
• BMW Financial Services
• Bozano Investimentos
• Breakthrough Properties
• D. E. Shaw & Co.
• Fiera Capital Corporation
• Fortress Investment Group
• 40 North Management
• Galaxy Digital
• GE Capital
• GMP Capital
• Goldman Sachs
• H/2 Capital Partners
• Jadian Capital
• J. Safra Sarasin Group
• JPMorgan Chase
• McCourt Global
• Millstein & Co.
• Muzinich & Co.
• National Australia Bank
• Overstock.com
• Renaissance Technologies
• SALT Lending
• Temasek Holdings
• Tishman Speyer
• Tudor Investment Corporation
• UBS
• York Capital Management

Other Notable Matters

• GE Capital in connection with many aspects of its U.S. financial regulation after the global financial crisis
• AIG in connection with several forms of government assistance provided during and after the financial crisis, including the 2011 series of recapitalization transactions valued at $59 billion
• First Southern Bancorp in a novel super-capitalization transaction to create a platform to acquire distressed banks after the global financial crisis
• New York Bankers Association in its successful constitutional challenge to the New York City Responsible Banking Act, a municipal law held by the U.S. District Court for the Southern District of New York to be pre-empted by federal and state laws