Lucosky Brookman LLP Lucosky Brookman LLP

Adele Hogan

Contact

New York
Phone:

(212) 417-8160

Fax:

(212) 417-8161

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Adele Hogan is a Partner at Lucosky Brookman LLP and Co-Chair of the Corporate & Securities Practice Group. She is an experienced transactional, capital markets, and mergers lawyer with expertise in FinTech and securities offerings, including SPACs, PIPEs, and IPOs. She advises on GRC – governance, risk, and compliance – and is active in strategic growth advisory work, including the corporate side of restructurings inside and outside of bankruptcy.

Adele’s work involves diverse industries, including: financial institutions; energy and utilities; healthcare (medical devices, biotech and pharmaceuticals); leisure (gaming and hotels); real estate; telecommunications; media and technology; transportation (airlines, automotive, shipping, rail); and retail.

Adele worked for over ten years at Cravath Swaine & Moore LLP, and was a partner at White & Case LLP and Linklaters LLP. She served as a Director at Deutsche Bank, has done strategic consulting work (revenue enhancements, deposit growth, FX, derivatives, mergers) for large banks, and led anti-financial crimes investigations, risk framework implementations, and corporate governance matters.

A graduate of Cornell University Law School, Adele frequently chairs and speaks at national law programs. She has served as an Adjunct Law Professor at Fordham University School of Law, presents at Practicing Law Institute, and is a Visiting Instructor at Cornell University Law School.

  • Capital Markets, initial public offerings (IPOs), high yield, securitizations, private placements (Reg. D), Rule 144A, Reg. S, shelf registrations, PIPEs, SPACs, Securities Act of 1933, Securities Exchange Act of 1934, Trust Indenture Act, Forms 10-K, 10-Q, 8-K, 20-F, 6-K, Proxy Statements, Annual Reports, Forms 3,4, 5, Section 16, dividend reinvestment plans
  • Mergers, dispositions, realignments, joint ventures
  • Broker Dealer lawyer for offerings, trading, operations, risk assessments, capital and liquidity, Alternative Trading Systems (ATS), exchanges
  • Investment Management including IPO of asset management business, fund of funds, Investment Company Act of 1940, Investment Advisors Act, hedge funds, private equity funds, venture capital funds, formation of feeder funds, ETFs, mutual funds
  • Prime Brokerage and Bank Financings
  • Governance, Risk, Compliance (GRC)
  • Corporate Secretary and Boards Advisory
  • FinTech, blockchain, smart contracts, cryptocurrencies, distributed ledgers, SQL coding
  • Data Governance, data privacy and data security, GDPR
  • Regulatory, including Dodd Frank, anti-money laundering (AML), Volcker, KYC, suitability, retail investment products, Reg. W, Volcker, SWIFT, payments, FCPA, OFAC, SEC, CFTC, FINRA, CFPB, OCC, Federal Reserve Bank
  • Derivatives and Structured Products, ISDA, netting, Foreign Exchange (FX) trading, commodities, margin, LIBOR
  • Alternative Assets, waterfalls, complex financial contracts
  • Reporting and Controls – Internal Control documentation – policies and procedures, Order Audit Trail System (OATS), Consolidated Audit Trail (CAT) requirements, Trade Reporting and Compliance Engine (TRACE), capital (CCAR), liquidity
  • Internal Audit, including internal controls, risk assessments, MRIAs
  • Risk Management, credit, market, enterprise, regulatory, operational, reputational
  • Due Diligence and Investigations
  • LegalTech and RegTech documentation projects
  • Technology contract negotiator
  • Business Development, product development and training
  • Project Management and Agile – has led negotiations of technology contracts and implementations and upgrades of trading systems and payment systems related to Finastra, 360T, INTL FCStone, IBM, Bloomberg
  • Litigation and Bankruptcy management and court room experience

Cornell University Law School
JD

Cornell University
BA

New York

Texas

U.S. Supreme Court

New York City Bar: M&A Committee (2010-2013), Chair of the Securities Regulation Committee (2007-2010) (member 2001-2004; 2012-2015), Chair of the Financial Reporting Committee (2004-2007), Banking Law Committee (2017-present)

New York State Bar Association:  Executive Committee member of Business Law Committee (2007-2009; 2013-2016), Securities Regulation Committee (2011-present), Corporations Committee (2011-2016), Derivatives Committee (2011-present), Women in Law Committee, and Insurance Committee (Chairman 2015)

American Bar Association:  Federal Securities Regulation (2005-present)

Women in Funds, 100 Women in Finance, Women’s Bond Club, and Women in Derivatives (WIND) 

SIFMA:   Compliance and Legal Society (2009-2010, 2017), and Internal Audit Society (2017) 

Association of Corporate Counsel 

Society of Corporate Governance Professionals 

National Association of Corporate Directors (NACD) 

NYC Fintech 

Wall Street Blockchain Alliance (WSBA)

Risk Management Association (RMA)

Board Member:  Current or past trustee or director of The Spence School (Corporate Secretary), Chairman of the Board of the School for Strings, Director of 570 Park Avenue Co-op, and member of other boards

Frequent chair and speaker at national programs: Practicing Law Institute, law schools (Cornell, former Fordham Law School Adjunct Professor) and business schools, accounting firms, companies, investment banks, and bar associations.