The Proposed SEC Reporting Modifications for Investment Companies: Keep Your Firms on Track

Andrew Shedlock is an attorney in the Minneapolis office of Foley & Mansfield, PLLP. His practice includes securities litigation, commercial litigation, business and corporate law and general civil litigation.  

In his business and business litigation practice, Andrew focuses on helping clients inside and outside of the courtroom by listening first and then diving into the details of their business operations to find efficient solutions to any type of problem.  With a strong interest in venture capital, startups (from seed rounds to IPO/acquisition) and private equity, Andrew is passionate about helping businesses and business owners navigate many types of challenges.  Andrew’s extensive background in securities litigation, investment fraud and general commercial litigation enables him to effectively advise clients as they face challenges, investigations, lawsuits and other unpredictable events. 

Andrew has been actively involved in multiple securities litigation matters. He helped to secure a $290,000.00 award for a client before a FINRA arbitration panel.  Andrew also defended a client in San Francisco, California accused of operating a nationwide ATM investment fraud scheme by the Securities and Exchange Commission.  Andrew has aggressively litigated investment fraud cases in Illinois, and complex private equity matters in Minnesota. He has also litigated FINRA’s definition of “customer” in federal court, which ultimately resulted in a favorable outcome.

Additionally, Andrew has represented a Fortune 500 oil and gas company in multiple land use litigation matters in North Dakota. He assisted in obtaining injunctive relief in federal court which prevented the client from receiving excessive penalties and fines. Andrew's general commercial litigation experience also includes non-compete agreements, employment law, shareholder disputes and construction law.

Pamela Poland Chen is a special counsel with Schulte Roth & Zabel, where her practice focuses on the representation of investment companies, business development companies, investment advisers, and investment banking institutions in connection with the structuring, formation, funding and operation of investment products and services, including mutual funds, closed-end investment companies and registered hedge funds. She also advises clients on a broad range of regulatory and compliance matters associated with investment companies, investment advisory, brokerage, securities custody and transfer agent services.

Pamela earned her J.D. from Georgetown University Law Center, where she served as articles editor of the Georgetown Immigration Law Journal, and her B.A., magna cum laude, from Case Western Reserve University.