Registered Funds - USA
What the team is known for
Sullivan & Worcester boasts a distinguished registered funds group that handles mutual funds, closed-end funds and ETFs. Particularly well regarded for its strength in independent trustee representation.
Strengths
"Sullivan & Worcester's team is very knowledgeable, experienced and detail-oriented."
"It's a very well-experienced team that offers sound and thorough advice. They are also extremely responsive and communicative."
"Sullivan & Worcester has a deep bench and they are always quick to respond."
Work highlights
Sullivan & Worcester served as independent legal counsel to the Independent Directors of the Legg Mason Closed-End Funds. This involved advising on their responsibilities under the federal securities law and state law, among other issues.
Notable practitioners
David Mahaffey is best known for his high-level representation of independent trustees for ETFs and open and closed-end funds. "David is very knowledgeable and his advice is always timely, clear and focused. He understands the issues and articulates them well."
David Leahy is valued for his astute advice to independent trustees and directors of mutual funds, closed-end funds and ETFs. "David provides excellent counsel."
Domenick Pugliese's broad capabilities enable him to handle ETFs and mutual funds matters, with particular expertise in advising independent trustees. "A very smart and good lawyer."
