David C. Mahaffey

Practice Areas

Investment Management

Registered Funds & Independent Trustees

Broker-Dealer Regulation

Corporate Governance & Board Advisory

Financial Services

Government Investigations & White Collar Defense

Investment Advisors, Commodity Trading Advisors & Institutional Investors

Career

David is the managing partner of the Washington, D.C. office. Prior to joining Sullivan & Worcester, David was Special Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. He previously served as Assistant General Counsel for Legislation and Investment Company and Adviser Regulation at the Securities and Exchange Commission and as Counsel to SEC Commissioner Aulana Peters.

David is admitted to practice in the District of Columbia and before the U.S. District Court, District of Columbia and U.S. Court of Appeals for the District of Columbia Circuit.

Work Highlights

Representing mutual funds, exchange-traded funds, closed-end funds, and business development companies and their independent trustees in connection with fund organization, public offerings and operations

Representing investment advisers and investment company boards in mergers and acquisitions

Representing investment advisers and broker-dealers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws

Advising public companies concerning their status under the Investment Company Act of 1940

Education