Capital Markets/Securities

Stroock has a strong securities and capital markets practice, representing both issuers and placement agents or underwriters in debt and equity transactions, including IPOs, PIPES, registered directs, private placements and Regulation S/144A transactions.  Our attorneys have particular expertise in commodities financing, structured and derivative securities (including equity-, credit- and commodity-linked notes), insurance and REIT transactions.  Stroock’s capital markets lawyers recently have been involved in a number of cutting-edge transactions, including the first “Up-C” initial public offering structure in the energy sector and the formation and initial public offering of a drop-down midstream master limited partnership.

Our capital markets attorneys work closely with their colleagues in a number of other disciplines, such as tax, intellectual property and securities litigation and SEC enforcement, to employ the full range of leading-edge corporate financing techniques to address many of the complex issues involved in today’s capital markets.

Stroock interacts frequently with the Staff of the Securities and Exchange Commission, allowing us to stay current on the Staff’s interpretations of securities rules and regulations.  This knowledge benefits our clients as we are able to guide them in transaction structuring issues and appropriate offering disclosures, thus avoiding substantial delays in the offering process.

Representative transactions include:

  • Represented PBF Logistics LP (NYSE: PBFX), a logistics-based master limited partnership formed by PBF Energy Inc., in its initial public offering
  • Represented PBF Energy Inc. (NYSE: PBF), one of the largest independent oil refiners, in its initial public offering and subsequent follow-on offerings
  •  Represented PBF Holding Company LLC in its $675 million offering of senior secured notes
  • Represented Cedar Realty Trust, Inc. (NYSE: CDR) in a variety of offerings of preferred stock and common stock
  • Represented Neff LLC in its high-yield debt offerings
  • Represented AMETEK, Inc. (NYSE: AME) in its offerings of euro-denominated senior notes
  • Represented Intersections Inc. (NASDAQ: INTX) in its initial public offering
  • Represented Barclays Capital Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc. and Natixis Securities Americas LLC as underwriters in the $233.9 million private placement securitization by JGWPT XXXI LLC, of fixed rate asset-backed notes
  • Represented Welk Resort Group, Inc. as sponsor in the $158.6 million private placement securitization by Welk Resorts 2013-A, LLC, of fixed rate asset-backed notes
  • Represented Citigroup Global Markets, Inc., Wells Fargo Securities, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated as underwriters in a $458.5 million private placement by Nelnet Student Loan Trust 2014-1, of Student Loan Asset-Backed Notes
  • Represented Jardine Lloyd Thompson Capital Markets in the private catastrophe bond transaction Skyline Re Ltd 2014
  • Represented Bank of America Merrill Lynch as arranger in the offering by Bondi Reinsurance Issuer 1 Ltd of Australian $79 million principal amount of notes
  • Represented Brean Capital, LLC as placement agent of Panamanian mortgage loans
  • Represented Bank of America Merrill Lynch in $270 million in mortgage guaranty insurance securitizations
  • Represented Crédit Agricole in $2.3 billion in Triple X and Guideline AXXX reserve financing transactions
  • Represented Citibank, N.A. in its $555 million Regulation Triple X reserve financing provided to Scottish Re Group
  • Represented MBIA Inc. in $800 million Northwind Re embedded value securitization for Unum Group
  • Represented Premcor Inc. (NYSE: PCO) in its various public offerings of common stock and high yield notes
  • Represented Jefferies Capital Partners as selling security holder of shares of common stock in Fiesta Restaurant Group (NASDAQ: FRGI)

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Attorneys in this Group


NAME TITLE OFFICE
James L. Bernard Partner New York

James L. Bernard
Partner
New York

Melvin A. Brosterman Partner New York

Melvin A. Brosterman
Partner
New York

James L. Burns Managing Attorney New York

James L. Burns
Managing Attorney
New York

Lucas T. Charleston Partner New York

Lucas T. Charleston
Partner
New York

Christopher J. Doyle Partner New York

Christopher J. Doyle
Partner
New York

Richard L. Fried Of Counsel New York

Richard L. Fried
Of Counsel
New York

Brian I. Greene Special Counsel New York

Brian I. Greene
Special Counsel
New York

Michael C. Keats Partner New York

Michael C. Keats
Partner
New York

Bradley Kulman Partner New York

Bradley Kulman
Partner
New York

Scott Le Bouef Partner New York

Scott Le Bouef
Partner
New York

Todd E. Lenson Partner New York

Todd E. Lenson
Partner
New York

Jeffrey S. Lowenthal Partner New York

Jeffrey S. Lowenthal
Partner
New York

Lewis F. Murphy Partner Miami

Lewis F. Murphy
Partner
Miami

Bernhardt Nadell Partner New York

Bernhardt Nadell
Partner
New York

Katherine Neville Associate New York

Katherine Neville
Associate
New York

Daniel N. Park Associate New York

Daniel N. Park
Associate
New York

Jordan M. Rosenbaum Partner New York

Jordan M. Rosenbaum
Partner
New York

Bruce H. Schneider Partner New York

Bruce H. Schneider
Partner
New York

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