总览

帕特里克 Daugherty directs a corporate, M&A,金融,金融监管和金融技术实践,致力于资本形成,创新以及投资收益和投资收益。他领导的律师团队为每个客户提供日常所需的特定服务,并帮助客户从数十亿美元的汗水资产中获利。他还领导事务所’s blockchain task force. As a confidential adviser, 帕特里克 helps clients resolve sensitive legal matters out of court, quickly and quietly.

企业,M&A与金融实务

帕特里克 manages relationships with clients in diverse industries such as health care, financial services, fintech and manufacturing, creating and managing teams of lawyers to service each client.

In particular, 帕特里克 directs multi-disciplinary teams of lawyers in 计划和执行要约收购,交换要约,重组,资本重组,合并,股票购买,资产购买,资产剥离,杠杆收购,管理层收购和“私有化”交易。他还计划并执行占据湖北体彩网每一层的股票,债务和混合证券的公开和私人发行。’整个生命周期的资本结构:从“angel” or “seed” investment and “Series A” preferred stock to the IPO, PIPE and secondary offerings, as well as mezzanine, convertible, exchangeable, and high-yield and high-grade debt issues. With help from other experts, 帕特里克 organizes hedge funds, commodity trading funds, and private equity funds.

帕特里克 participates in both private and public change-of-control transactions, advising bidders, activist investors, targets, independent directors, financiers, and financial advisors. An early example was the unsolicited bid by Kuhlman Corporation for Communication Cable, where he guided Kuhlman in the first successful attempt by any bidder to acquire a target company while complying with North Carolina’的反收购法。他在私募股权交易中代表买卖双方,并被选中为多家私募股权湖北体彩网的投资组合湖北体彩网提供外部法律顾问服务。

帕特里克 conducted the research that justified the SEC’规则144A的采用,并帮助外国和国内湖北体彩网在该特定市场筹集资金。他还曾在创建规则S的SEC团队中工作,并利用他对相关规则,惯例和市场参与者的了解来帮助 湖北体彩网利用离岸资本市场。

说明性交易。 帕特里克 plans and executes IPOs for emerging growth companies. He organizes and leads M&面向串行获取器的程序。举例来说,他的交易包括:

  • 以“世界第一”的方式将夏洛特赛车场和亚特兰大赛车场在纽约证券交易所公开发售;
  • 泰科国际之后管理一系列资产剥离 改变当时最大的美国资产剥离计划中的管理;
  • 在不到45天的时间内,帮助Cablevision获得SEC批准的100亿美元私人交易的项目被“年度最佳交易” 交易 杂志;
  • 为TD Ameritrade就大型投资银行和经纪湖北体彩网对Knight Capital的纾困提供法律意见并代表该湖北体彩网处理技术故障,导致Knight的交易亏损4亿美元。 几分钟的空间;和
  • 在跨国交易所运营商Bats Global Markets(ETF交易的主要市场)非常成功的IPO中代表卖方卖方。

最近,他代表贝尔德(Baird)领导的承销商成功完成了女性的首次公开募股和二次公开募股’s handbag maker Vera Bradley and has advised commodity pool operators and commodity trading advisors on the launch of off-shore and on-shore commodity trading funds. He executed asset sales for the bankruptcy trustee of Peregrine Financial Group (PFG Best) and helped Nexteer 汽车行业 raise senior debt in the United States and go public in Hong Kong. Nexteer is the largest Chinese-owned automotive supplier in the world outside of China. 帕特里克 routinely advises foreign private issuers seeking to facilitate the trading of their securities in U.S. markets.

“ 363”销售。 帕特里克的一个例子’在重组领域的交易成功是将Noble European Holdings出售给了ArcelorMittal。来宝国际(Noble International)是一家在纳斯达克(Nasdaq)交易的汽车工业供应商,其业务因“底特律3”汽车湖北体彩网(通用汽车,福特和克莱斯勒)组装的汽车和卡车的需求急剧下滑而受损。尝试为Noble再融资’随着全球信贷危机的持续,该湖北体彩网到期的债务义务失败了,该湖北体彩网被迫进入底特律的第11章。破产使成千上万的工作处于危险之中。来宝(Noble)购买了全球安赛乐米塔尔(ArcelorMittal)在欧洲的激光焊接业务’是一年前最大的钢铁湖北体彩网。破产时,来宝(Noble)从底特律3号获得了DIP融资,然后帕特里克(Patrick)将转售给一年前收购的欧洲业务的安赛乐米塔尔(ArcelorMittal)以及墨西哥和亚洲的类似业务。及时的转售挽救了所有直接受影响的员工的工作。同样,由帕特里克(Patrick)管理的重组团队为来宝(Noble)进行了其他几次“ 363”销售,每笔销售都防止了企业停业,从而节省了工作,同时提高了现金收益以偿还汽车湖北体彩网。

咨询和监管实践

帕特里克 is called upon routinely to counsel boards of directors, board committees, senior officers and trustees with respect to challenging questions of business judgment (and the consequences of that judgment). He regularly coaches principals and fiduciaries in the course of decision-making calculated to comply with securities laws, the Sarbanes-Oxley Act, stock exchange rules, corporate codes, and optimal practices.

独立顾问。 帕特里克 has been engaged to advise directors of companies with which he and his firm have no other professional relationship. He helps independent directors grapple with the thorny questions, such as whether, when and how to replace senior managers and report financial crimes to the government. His experience is not limited to a single industry but, on the contrary, includes industries as diverse as banking, biotechnology, consumer products, energy, food processing, forest products, health care, media and entertainment, motorsports, real estate, restaurants, retail, robotics, security, steel, utilities, telecommunications, textiles, utilities, vehicle assembly and original equipment manufacturing. 帕特里克 devotes much of his practice to the legal and business needs of banks, insurance companies, futures commission merchants, securities broker-dealers, and other financial services firms, as well as financial technology innovators.

SEC律师。 Early in his career, 帕特里克 was counsel to SEC Commissioner Fleischman in Washington, reviewing and influencing the work of every SEC Division and Office. 帕特里克 relied on that experience to build a law practice in which he advises clients in dealings with every Division of the SEC.

Examples of projects led by 帕特里克 involving different divisions of the SEC include:

  • 由湖北体彩网财务部进行严格审查-规划,记录和完成许多IPO和收购;
  • 向贸易与市场部申请–组织NCNB资本市场,该银行已成为美国银行证券,现在是世界上最大的投资银行之一;
  • 通过合作 与执法部门 –为Lancer 伙伴s对冲基金中的欺诈投资者追回资金,这是美国历史上最大的“细价股”骗局;和
  • 申请后 投资管理部–与他的同事一起发明了CurrencyShares Euro Trust。评选为“年度交易” SmartMoney 杂志在2006年发行,这是第一种基于货币的 ETF在全球任何地方的证券交易所上市。

帕特里克 also has been engaged by the SEC in private practice to help the SEC solve problems arising in the field. In 2014, the SEC intervened in the affairs of a stock transfer agent whose senior management had mishandled customer funds. On behalf of the SEC-appointed receiver, 帕特里克 recruited an industry leader to stabilize the business, identified the logical bidders for the business and managed an auction resulting in the sale of the business as a going concern –全部在两个星期内。所有正式员工均保留其工作,以及他为客户协商的销售条款’的利益导致全额付款。

持续的ETF创新。 帕特里克 and the 佛利ETF team capitalized on the success of the Currency 分享s Euro Trust by launching eleven other currency-based ETFs, representing equity investments in currencies such as the Australian dollar, the British pound sterling, the Canadian dollar, the Japanese yen, the Swiss franc and the Chinese renminbi. All are managed by Invesco.

ETF是世界上增长最快的投资形式,在过去的20年中,其管理资产从零增加到超过3万亿美元。随着投资者将更多的美元委托给ETF而不是共同基金,这种趋势正在持续。通常,ETF使用被动投资策略。这方面的主要进步是主动管理型基金,在该基金中,管理人员运用主观投资判断来决定买卖什么。

Five major financial firms raced to produce the first actively-managed ETF. 帕特里克 and his 佛利colleagues won that contest for their client, launching the Current Yield Fund on the New York Stock Exchange ahead of all competitors. The 佛利team continues to provide thought leadership for its clients relative to new ETF concepts, some of which are patented.

专家证人。 In recognition of the breadth of his regulatory experience, 帕特里克 also has been called as an expert witness in litigation. He has been tendered and qualified as an expert in securities law in criminal fraud proceedings brought by the U.S. Department of Justice, resulting in conviction, 并已作为民事被告案件的被告作为专家证人进行招标和作证。

精神领袖

帕特里克 Daugherty earned a bachelor’s degree, with distinction, from Northwestern University and a law degree, cum laude, from Cornell University. He trained as a corporate and securities lawyer in Wall Street after clerking one year for Lloyd F. MacMahon and Edward Weinfeld, each a (late) Chief Judge of the U.S. District Court for the Southern District of New York (New York City). 帕特里克 is a director-at-large of the Northwestern Alumni Association and is on the committee charged with leading Northwestern’的37.5亿美元资金筹集活动。

帕特里克 was invited to join the American Law Institute at age 37 and participates in continuing education programs of the ABA Sections of Administrative Law and Business Law (Committees on Federal Regulation of Securities, Legal Opinions, 合并and Acquisitions, Professional Responsibility and Small Business). He is on the Planning Committee of the Ray Garrett Jr. 企业法人 and 有价证券Law Institute at Northwestern Pritzker law school.

In the course of building client service teams at Foley, 帕特里克 won the firm’在就职六个年头的同事的推荐下,Carl H. Hitchner在就职年度获得“年度最佳指导”奖。

帕特里克 also has led pro-business initiatives of state and local bar associations. As a member of the Association of the Bar of the City of New York, he authored a white paper that supported New York’颁布具有开创性的管辖法律选择和论坛选择法律,使企业高管和金融家能够跨界订立合同,并充满信心地相信,如果发生争议,他们对纽约法律和纽约法庭的选择将受到尊重。后来,在北卡罗来纳州,他担任州长吉姆·亨特(Jim Hunt)’的创业发展委员会,在整个Tar Heel州促进投资和就业增长。

美国证券交易委员会(SEC),资本市场的公认思想领袖&A, corporate governance, financial innovation and regulatory reform, 帕特里克 在康奈尔大学,杜克大学,霍华德大学,密歇根州立大学,西北大学,塞顿厅,维克森林大学和韦恩州立法学院教授过课程并作了演讲。他发表了学术文章(例如,《重新思考禁止普遍征集》 埃默里法律杂志),合着了一本书(有价证券Arbitration: Practice and Forms,由Matthew Bender出版),并编辑了另一个(商业融资发展十年回顾, 由ABA发行)。

帕特里克 co-authored "Introduction to the 有价证券Act of 1933 and to the 有价证券and Exchange Commission" in the Federal 有价证券Act of 1933 马修·本德(Matthew Bender)发表的论文。他经常向法律,会计,商业和金融集团演讲,并接受过广播,电视和有线新闻节目法律发展的采访,并因其对出版物等法律话题的见解而被引用。 华尔街日报, 纽约时报芝加哥论坛报.

同行认可与奖励*

帕特里克 has been selected by his peers for inclusion in 美国最佳律师© since 1995 in the fields of 企业法人 Governance Law, 企业法人 Law, Securities/Capital Markets Law and 有价证券Regulation. In 2010, 法律500强 承认他的合并&收购工作。还被选为《超级律师》的第一版和所有后续版本® 因其在证券和湖北体彩网财务方面的成就,他现在被同行评议评为AV卓越®,是Martindale-Hubbell的最高性能等级® 同行评等等级 自从他20多年前的首次评价以来,就一直如此评价。在2019年,他被授予司法AV杰出奖® 等级,这是他的同龄人和司法部门所能做到的最高区别。

帕特里克 was selected as "Michigan Lawyer of the Year" by 密歇根律师周刊 2007年。他是唯一获得如此殊荣的湖北体彩网律师,被誉为“金融向导”和“策划者”。他被命名为 商业 该湖北体彩网在湖北体彩网治理,合规法和证券法领域的“顶级律师”名单,并被评为 最佳律师’ 即使在芝加哥生活和工作,《底特律湖北体彩网治理法》还是“年度最佳律师”。根据 钱伯斯美国, 帕特里克 is "top of the class for capital raising."

律师资格

  • 获准在纽约,华盛顿特区,北卡罗来纳州,密歇根州和伊利诺伊州执业
  • 获准在美国纽约南部地区(纽约市)和密歇根州东部和西部地区法院执业

*伊利诺伊州最高法院不承认法律实践中的专业证书,并且在伊利诺伊州实践法律不需要证书,奖励或认可。

见解

FinCEN宣布了旨在消除某些可兑换虚拟货币和数字资产交易的反洗钱法规空白的拟议规则
2020年12月21日
法律新闻:政府执法辩护& Investigations
FinCEN针对违反银行保密法的比特币混合器采取行动
2020年10月26日
法律新闻:政府执法辩护& Investigations
SEC修订了规则14a-8,以现代化股东提案要求
2020年9月29日
法律新闻:交易性& Securities
SEC修订了S-K法规,以实现业务,法律程序和风险因素披露的现代化
2020年9月11日
法律新闻:交易性& Securities
2019 NDI执行人员交流
2019年11月14-15日
伊利诺伊州芝加哥
阻止[法律]科技
2019年10月24日
伊利诺伊州芝加哥
Daugherty讨论加密货币监管
2018年11月29日
伊利诺伊州芝加哥
2018 NDI高管交流
2018年10月25日
伊利诺伊州芝加哥