Thomas R. Westle

Biography

Thomas Westle provides counsel to registered and unregistered investment companies, independent Boards of Directors/Trustees of registered investment companies and business development companies, and investment advisers. His practice focuses on the following areas:

  • registration, regulation, corporate governance, reorganizations and mergers of investment companies including open-end, closed-end, and business development companies as well as investment advisers
  • representation of independent Boards of Directors / Trustees of investment companies
  • creation and organization of private investment funds and hedge funds
  • preparation of SEC exemptive applications and no-action letters
  • financing transactions relating to closed-end investment companies including interval funds and business development companies
  • representation of investment companies in SEC examinations and enforcement actions

Tom, along with Blank Rome Partner Michelle Gitlitz, is responsible for the quarterly issuance of Blank Rome’s Fund and Investment Management Regulatory Update and Recent SEC Actions publication.

Outside the Firm

Tom is a member of the Board of Directors of The Singers Forum in NYC and has 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.

Experience

  • Underwriters Counsel to Ladenburg Thalmann & Co. Inc. with respect to numerous equity and debt financing transactions for new and existing closed-end investment companies and business development companies.

Recognitions

  • 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

Affiliations

Memberships

  • Mutual Fund Directors Forum
Professional Activities
  • Frequently quoted in the financial press on investment company, investment  adviser and private investment fund issues, and has appeared on CBS’s Marketwatch radio program as well as Bloomberg Television
  • Organizer of and speaker at the Chief Compliance Officer's Roundtable in New York, NY

Credentials

Admissions

  • New Jersey
  • New York

Education

  • Rutgers, the State University of New Jersey at New Brunswick, BA
  • Pace Law School, JD