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Robert J. Kiggins
Counsel
Email:     rkiggins@mccarthyfingar.com
Phone:    914-385-1024 (direct)
Fax:        914-946-0134
 
Professional Biography

Bob is counsel to the firm. He has extensive experience in corporate finance and tax matters, securities broker-dealers, investment advisors, investment companies, life insurance companies, hedge funds, medical practice purchases and sales, insurance agencies and bank expansion into insurance and securities fields. He also represents a number of closely held businesses in such industries as medicine, dentistry, direct mail monitoring and list protection, computer software, insurance agency, securities brokerage, and investment management. Bob is especially familiar with the regulations imposed on securities broker-dealers, investment advisors, insurance companies, and insurance agencies.

Bob serves as U.S. general counsel to a South African-based international financial services firm that controls worldwide assets in excess of one billion dollars, among other international clients. In addition to his contributions to Legal Notes, he has authored several articles on the Internet and has a website at http://www.rkiggins.com. Bob also serves as a director of a number of private companies.

Bob is fluent in Spanish and has served a number of Hispano-American business clients. He is also a member of the Japan Society where he is currently studying intermediate level Japanese.

Bob is also active with the Hedge Fund Association and Alternative Investments Compliance Association and maintains a law blog on hedge fund developments entitled NY Metro Hedge Fund Law & News.

Areas of Experience:
Corporate, domestic and international tax, finance, insurance, securities, intellectual property, trusts and estates, estate planning, real estate.
Significant Matters and Cases:
representation of management in a $2 Million management leveraged buyout
representation of sellers in a $20 Million stock merger of a private into a public company
representation of purchasers in a $14 Million purchase of a life insurance company
representation of corporation in a $12 Million preferred stock financing
representation of selling corporation in an $8 Million asset disposition

representation of shareholders in a $5 Million corporate recapitalization

representation of general partners of a $50 Million hedge fund in a fund reorganization and offering

Professional and Community Involvement:
Journals and Publications
NY Metro Hedge Fund Law & News (Blog)
The Inadvertent Investment Company (Legal Notes, Spring 1999)
The United States-South Africa Tax Treaty (Internet, 1999-2001)
A Glimpse into the Future: Digital Signatures, Letters of Credit and Beyond (Legal Notes, Winter 1996)
Corporate Acquisitions: Structural Alternatives and Planning Considerations (Legal Notes, Fall 1996)
The Creditor, The Soured Leveraged Buyout, And Queen Bess (Legal Notes, Winter 1994)
Pre-Merger Negotiations – Securities Law Disclosure Obligations: To Tell or Not to Tell (Legal Notes, Spring 1994)
Considerations for a Company Going Public (Legal Notes, Fall 1993)
The Family And Medical Leave Act Of 1993: A "Leading Legal Indicator" (Legal Notes, Summer 1993)
A Capital Idea: Raising Funds for Small Businesses (Legal Notes, Fall 1992)
A Case of the Vapors – Employee Stock Rights in Employer Stock Tied to Continuing Employment (Legal Notes, Spring 1992)
Education:
• L.L.M., Taxation, New York University, 1980
• J.D., Cornell Law School, 1974
• A.B., Boston College, 1971, Phi Beta Kappa magna cum laude
Admitted to Practice:
New York,