SEC Enforcement Action Highlights Need for PE Fund Advisers to Address Potential Broker-Dealer Issue
En Banc Second Circuit Reinstates Conviction Despite Government Retention of ESI
Christopher S. Auguste counsels and represents clients in the private placement or public offering of debt and equity securities. Mr. Auguste represents underwriters and issuers in initial and secondary public offerings, private investment funds in their investment in public and private companies and investment banks in structuring PIPEs, shelf offerings and equity line transactions. He counsels private investment funds and funds of funds in connection with their structure and formation, and provides advice and analysis regarding their portfolio investments. He also represents financial institutions and issuers in structured financings. Among his recent notable work, Mr. Auguste served as U.S. securities counsel for Canadian issuers of certificates backed by Canadian commercial mortgaged properties. He also advised several sponsors in the formation of a U.S. and Cayman Island long-short hedge fund with a modified mini master-feeder structure, a private equity fund focused on originating loans secured by real estate, a U.S. and Cayman Island consumer loan fund with a master-feeder structure, and mid- and small-cap PIPE funds. Mr. Auguste represented the purchasing agent in the public offering of up to $100 million aggregate principal amount of solar bonds issued by a U.S. public corporation. Mr. Auguste currently serves on the board of Goddard Riverside Community Center, which provides housing for senior citizens and the homeless, education centers for children, and college access and counseling for New York City high school students, among other services. He is the president and an alumnus of the Wadleigh Scholars Program, which helps talented eighth graders gain admission to boarding school. He also currently serves on the board of YouthBridge-NY, which brings New York City high school students together for diversity and leadership training.