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Practical Solutions

Peter Englund Successfully Advises Capify on £100m Credit Facility Deal

Bridging & Commercial (B&C) quoted Private Credit Partner Peter Englund, London, in a story about online SME lender Capify securing a credit facility worth over £100m from Pollen Street Capital. The deal involves a refinancing of a line originally provided by Goldman Sachs.

SCOTUS Update: The CFPB Lives On and Arbitrable Lawsuits Must Be Stayed (Not Dismissed)

The Supreme Court was busy last week issuing opinions of interest to consumer finance companies, CFPB-regulated entities, and anyone who finds themselves enforcing arbitration rights in court. First, on May 16, the Supreme Court rendered its long-awaited decision in Consumer Financial Protection Bureau v. Community Financial Services Association of America, Ltd. The Court affirmed the legality of the CFPB's funding structure in a 7-2 decision written by Justice Thomas.

Katten Scores Dismissal of Patent Docketing Contractor From Lawsuit Regarding Missed IP Deadline

Katten's Intellectual Property team secured the dismissal of patent docketing contractor CPA Global Support Services from a neurosurgeon's lawsuit claiming that our client provided him with "the wrong deadline date" to register his ideas for the protection of patents anywhere else in the world besides the United States, as reported by Law360.

Labor Department's Final Rule on FLSA Salary Threshold Increases Explained

On April 23, the Department of Labor (DOL) released a final rule raising the salary thresholds for certain overtime exemptions under the federal Fair Labor Standards Act (FLSA). Partners Julie Gottshall and Janet Widmaier explore key takeaways, next steps and considerations for employers.

Whistleblower Rewards Program Update: DOJ Explains and Expands Pilot Program for Voluntary Disclosures

On April 15, the DOJ publicly released a memorandum fleshing out its previously announced corporate whistleblower program, which is intended to induce individuals to report alleged criminal conduct, particularly by corporates, through the use of non-prosecution agreements.

Katten Represents Real Estate Investment Trust in Chapter 11 Filing

Katten's Dallas Insolvency and Restructuring team represented a Houston-based REIT in its Chapter 11 filing, helping the company successfully close a $135 million exit facility that allowed the trust to go effective on its Chapter 11 Plan of Reorganization on March 27.

Katten Partners Examine New 'Dealer' Definitions and What It Means for Hedge Funds

Partners and Broker-Dealer Regulation Co-Chairs Wayne Aaron and Susan Light spoke with Hedge Fund Law Report on the SEC's updated definitions of "dealer" and "government securities dealer" under the Securities Exchange Act of 1934, which may require some hedge funds to register as dealers. While the SEC estimates that only 12 hedge funds will be impacted by this change, Wayne suggests that number may be underestimated.

Creative Thinkers

Katten Receives High Marks in Chambers USA Guide 2024

Katten announced that 90 attorneys were ranked in the 2024 edition of the Chambers USA guide. The firm also received recognition as a leader in 39 practice areas.

Katten Highly Ranked in Legal 500 United States 2024

Katten announced that 73 attorneys and 21 practice areas were named to the Legal 500 United States 2024 guide.

Katten's Representation of Pinstripes Recognized as a 2024 Middle-Market Deal of the Year by Mergers & Acquisitions Magazine

Katten's representation of Pinstripes, Inc. in its deal to combine with Banyan Acquisition Corporation was recognized as one of the 2024 Middle-Market Deals of the Year in the 17th annual Mid-Market M&A Awards by Mergers & Acquisitions Magazine. The awards honor "exceptional transactions" that have "transcended a variety of market headwinds" during the last year.

Katten Taps James Bookhout to Lead M&A Litigation in Dallas

Katten welcomes James Bookhout to the Dallas office as a partner and chair of the firm's Mergers and Acquisitions (M&A) Litigation practice. He represents buyers and sellers in indemnification claims and fraud issues in M&A transactions, earnout disputes, handling of working capital and post-closing adjustment disputes, and litigating fiduciary duty and other matters between investors and sponsors in investment funds stemming from private equity transactions.

The EHCP Handbook How to Make an Effective Education Health and Care Plan: A Guide for Parents and Carers

Drawing from personal experiences, pro bono work and her law practice, Corporate Senior Associate Ekaterina Harrison has written "The EHCP Handbook: How to Make an Effective Education Health and Care Plan: A Guide for Parents and Carers." The handbook, set to be published by Pavilion Publishing and Media Ltd in June, is aimed at parents and caregivers but is relevant to education and social care professionals.

Danette Edwards Named to Securities Docket Advisory Board

Partner and Co-Chair of the Securities Enforcement Defense practice Danette Edwards has been tapped to serve on the 2024 Advisory Board of Securities Docket. Securities Docket hosts several preeminent securities enforcement conferences around the country, bringing together current and former senior SEC and DOJ officials, plus other leading securities enforcement and white-collar attorneys.

Katten Named Law Firm of the Year in the Private Wealth Industry

Katten announced that Citywealth recognized the firm's Private Wealth practice with the Magic Circle Award for Law Firm of the Year – USA. "This coveted distinction further solidifies Katten's reputation as a leading law firm with one of the most well-respected Private Wealth practices nationally and internationally," said Joshua Rubenstein, national chair of Katten's Private Wealth department.

Inclusive Approach

Katten DEI: Weaving Together a Rich Tapestry of Diverse Identities

Katten's 2024 Diversity Equity and Inclusion Report, aptly themed "Interwoven," is a testament to the rich tapestry of diverse identities that enrich our community. The stories in these pages show the many ways Katten is deeply committed to DEI and how we are actively striving to create an inclusive work environment where everyone's identity is welcomed and celebrated.

Leigh Brissenden and Matthew Hartzler Recognized as NIJC 'Rising Stars'

The National Immigrant Justice Center is celebrating Associates Leigh Brissenden and Matt Hartzler as 2024 Rising Stars, which recognizes attorneys who have demonstrated "extraordinary commitment to ensuring access to justice for immigrants."

Katten Hosts Dallas Mavericks CEO and Former Lloyd's of London CEO at Women's History Month Events

Katten celebrated Women's History Month with two guest speakers: Dallas Mavericks CEO Cynthia "Cynt" Marshall, the first Black female CEO in the history of the NBA; and Dame Inga Beale, the first female CEO of Lloyd's of London.

Katten Attorneys Tapped to Participate in Leadership Council on Legal Diversity Career Development Programs

Katten announced that three attorneys — Partner Dilen Kumar and Associates Katie E. O'Brien and Christopher T. Vazquez — were selected for the Leadership Council on Legal Diversity (LCLD) Fellows and Pathfinder programs focused on professional development. "These programs present a tremendous opportunity for our attorneys to develop new relationships with industry leaders, expand their leadership skills and continue the upward trajectory in their career paths," said Katten Chief Diversity Partner Leslie Minier.

Katten Again Recognized for Seeking Greater Diversity and Inclusion

For the third consecutive year, Katten has been designated a Mansfield Certified Plus firm, signaling its continued commitment to diversify law firm leadership and foster a culture of belonging.

Diversity is a reality. Inclusion is a choice.

We choose inclusion.

We are committed to having the brightest lawyers on our team, and we recognize that the best talent is diverse in many ways, including gender, race, sexual orientation, national origin, and ability.

Recognizing that our attorneys are at the heart of our business

If you're seeking to join a firm where you can enjoy exceptional career opportunities, as well as the resources to help you take your personal and professional goals to the next level, take a closer look at Katten.

Case Studies

Four Deals in One: Buyer Group Acquires Majority Stake in Charlotte Hornets

Sports and Sports Facilities Partner Daniel H. Render led a Katten team in representing the new majority owners of the Charlotte Hornets in their acquisition of a controlling interest in the team from basketball superstar Michael Jordan. The complex, high-value, high-stakes transaction meant the end of Jordan's 13-year majority ownership of the team.

The buyer group was led by Gabe Plotkin, a hedge fund founder and manager, and Rick Schnall, a private equity firm president, and included rapper J. Cole and country music artist Eric Church, as well as Dan Sundheim, Chris Shumway, Ian Loring, Dyal HomeCourt Partners, Andrew Schwartzberg and local Charlotte-based investors Amy Dawson and Damian Mills.

Pinstripes Bowls Onto National Experiential Dining Scene With NYSE Debut

In June of 2023, Northbrook, Illinois-based Pinstripes Inc., which at the time had 13 locations in eight states and Washington, DC, announced plans to go public with a large-scale expansion of its experiential dining and entertainment brand combining bistro, bowling, bocce and private event space. As part of its growth strategy, Pinstripes is filling holes left by disappearing big-box shopping mall anchors, revitalizing retail spaces with its brand of dining and entertainment and hosting events that range from company outings and birthday parties to weddings.

Tapped by Partner Christopher Atkinson, Co-Chair of Katten's Mergers & Acquisitions and Private Equity Practice, Capital Markets Partner Mark Wood led the legal team that helped Pinstripes go public through a merger with special purpose acquisition company (SPAC) Banyan Acquisition Corporation (Banyan). The deal, which closed at the end of 2023, valued Pinstripes at approximately $380 million, based upon a value of $10 ascribed to each SPAC share. The transaction included an equity investment of over $20 million directly in Pinstripes by Middleton Partners, a Chicago-based investment firm, and a debt investment of $50 million in the combined company by Oaktree Capital Management. The deal closed on schedule, with Pinstripes' common stock commencing trading on the New York Stock Exchange (NYSE) on January 2, 2024.

First Independent Swap Data Repository Is Granted CFTC Registration

Financial Markets and Funds attorneys Carl Kennedy, James Brady, and Gary DeWaal led the team successfully guiding KOR — a trade data processing and management platform for derivatives markets — in its registration application with the Commodity Futures Trading Commission (CFTC).

The approval marked several firsts, the first registration for an independent and cloud-native swap data repository (SDR); the CFTC's first SDR registered in eight years; and the first SDR registration approval by the CFTC since the agency amended its SDR rules in 2020. The registration enabled KOR to provide full SDR service for all asset classes and client segments.

KOR claims it has created a uniquely modern, user friendly approach to complying with reporting obligations.

Marathon Music Royalties Dispute Ends in Estate Victory

Zia F. Modabber, Managing Partner of Katten’s California offices and leader of Katten’s Entertainment and Media Litigation practice, Partner Tami Kameda Sims and Associate Leah E.A. Solomon, along with co-counsel at Kinsella Weitzman and Greines Martin, successfully represented Michael Jackson’s Estate in a seven-year long dispute over royalties from Jackson’s albums Off The Wall, Thriller, and Bad.