Mr David Dickstein > Katten > New York, United States > Lawyer Profile
Katten Offices
50 Rockefeller Plaza
New York, New York 10020
United States
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Mr David Dickstein
Work Department
Financial Markets & Funds
Position
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.
Education
JD, Columbia Law School; BA, Yeshiva University, magna cum laude
Top Tier Firm Rankings
Firm Rankings
- Finance > Structured finance: derivatives and structured products
- Finance > Structured finance: securitization
- Media, technology and telecoms > Advertising and marketing: litigation
- Investment fund formation and management > Alternative/hedge funds
- Transport > Aviation and air travel: finance
- Intellectual property > Copyright
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Dispute resolution > Securities litigation: defense
- 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
- Healthcare > Service providers
- Industry focus > Sport
- Intellectual property > Trademarks: litigation
- Dispute resolution > General commercial disputes
- M&A/corporate and commercial > Venture capital and emerging companies
- Tax > US taxes: non-contentious
- Finance > Commercial lending
- Dispute resolution > Corporate investigations and white-collar criminal defense