Thomas R. Westle
|New York, NY||v. +1.212.885.5239||f. +1.917.332.3817|
Thomas Westle focuses his practice on corporate and securities law. He has extensive experience in legal issues relevant to registered and unregistered investment companies and investment advisers. His client services include:
- registration, regulation, and governance of investment companies including open-end, closed-end, and business development companies as well as investment advisers
- creation and organization of private investment funds and hedge funds
- representation of independent Boards of Directors / Trustees
- preparation of SEC exemptive applications and no-action letters
- financing transactions relating to mutual funds
- representation of investment companies in SEC enforcement actions
Mr. Westle is frequently quoted in the financial press on mutual fund and hedge fund issues, and has appeared on CBS' Marketwatch radio program as well as Bloomberg Television.
Mr. Westle was ranked as a “2013 Top Rated Lawyer in Securities Law” by American Lawyer Media, in conjunction with Martindale-Hubbell, in the September issue of The American Lawyer & Corporate Counsel magazine.
In April 2016, Mr. Westle, along with Blank Rome attorney Michelle Gitlitz Courtney, authored a Regulatory Update and Recent SEC Enforcement Actions Affecting Investment Companies and Registered Investment Advisers overview for their clients.
- Alpine Total Dynamic Dividend Fund (NYSE: AOD), the largest closed-end fund IPO in U.S. equity markets’ history, and the New York Stock Exchange’s (NYSE) sixth largest IPO ever. The transaction was valued at $4.04 billion.
- Alpine Woods Capital Investors, LLC in the successful pricing of its first closed-end fund offering. The fund, named the Global Dynamic Dividend Fund, trades on the NYSE under the ticker symbol AGD. The transaction was valued at $476 million.
- Alpine Global Premier Properties Fund (NYSE: AWP), in a $2.1 billion IPO for a closed-end real estate securities fund.
- Cornerstone Progressive Return Fund (AMEX: CFP) in its initial public offering. The transaction was valued at $140 million.
COMMUNITY SERVICE & AFFILIATIONS
Mr. Westle served as Chairman of the New York State Board of Easter Seals (2007-2008), and continues to serve as a member of the Board of the New York State Board of Easter Seals, and as a member of the Hudson Valley Operations Board of Easter Seals, and the New York City Operations Board of Easter Seals.
- AV Preeminent®, listed in Martindale-Hubbell®
- 2013, “Top Rated Lawyer in Securities Law” listed in the September issue of The American Lawyer & Corporate Counsel magazine
A description of the standard or methodology on which the accolades are based can be found here.
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