Paul J. Pollock is a partner in the New York office of Crowell & Moring and concentrates his practice on mergers and acquisitions and corporate finance. He provides ongoing representation to middle market private equity sponsors, family offices and their portfolio companies, as well as public and private companies that are not sponsor backed. Paul's industry experience includes representing clients in financial services, manufacturing, telecommunications, fintech, software products, publishing and entertainment, with recent emphasis on the healthcare and biotech industries.
Paul represents private equity sponsors, family offices, healthcare providers, and emerging companies in executing their acquisition objectives. He works on both the buy and sell-side of middle-market businesses seeking to realize value through the sale of their businesses, and with foreign companies who are seeking to enter the U.S. marketplace, access the U.S. securities markets or to engage in transactions with U.S. companies.
Paul has extensive experience in representing emerging companies and entrepreneurs. He works with companies through their entire life cycle including advising on the formation and choice of business entity; preparing and negotiating shareholder and limited liability company agreements, employment agreements and other critical corporate contracts; advising on multiple rounds of private equity financing and debt financing; and representing companies in their initial public offering and in connection with ongoing securities compliance filings work.
In addition to representing issuers in acquisitions and divestitures, private and public offerings and debt financings, he has also represented underwriters in public offerings and placement agents in private placements as well as foreign issuers in connection with offerings under SEC Regulations.
Responding to the Covid-19 crisis, Paul has been on the forefront of the Paycheck Protection Program under the Cares Act. He has advised clients in determining eligibility for loans, as well as assisting clients in calculating loan and forgiveness amounts. He has also presented on numerous webinars on the Paycheck Protection Program and was quoted in a May 13 article in The New York Times titled “Small-Business Loan Deadline Poses Test for Mnuchin.”
Paul has been recognized by Super Lawyers as a leading mergers and acquisitions attorney since 2017.
Paul is admitted to the New York bar and is a member of the New York State Bar Association, Association of the Bar of the City of New York, and the Association for Corporate Growth. Paul is also a frequent speaker and contributor at various industry conferences.
Affiliations
Professional Activities and Memberships
- Association of the Bar of the City of New York
- New York State Bar Association
- Association for Corporate Growth
Representative Matters
Representative Healthcare Transactions
- Representing Humana Inc. in connection with its pending acquisition of Enclara Healthcare, one of the nation’s largest hospice pharmacy and benefit management providers, from Consonance Capital Partners.
- Representation of a Fortune 100 health insurance company in connection with its proposed acquisition of a specialty pharmacy business.
- Representation of the US subsidiary of a Spanish-based owner of fertility clinics in connection with the proposed acquisition of a Northeast US-based In Vitro Fertilization Clinic.
- Representation of MedLabs Holdings LLC in connection with the sale of assets to a New York-based laboratory testing company.
- Representation of Angion Biomedica Corp. and bicoastal based biotechnology company in connection with the sale of convertible notes.
- Representation of Angion Biomedica Corp. in connection with the sale of Convertible Preferred Stock.
- Representation of MedLabs Holdings LLC in connection with the acquisition of the assets of Mercy Diagnostics, Inc., a Mid-Atlantic Provider of laboratory services.
- Representation of MedLabs Holdings LLC in connection with the proposed acquisition of a New Jersey-based provider of laboratory services.
- Representation of Cadex Genomics Corp., a California-based developer of molecular assays used to improve care for cancer patients in connection with the sale of Convertible Notes.
- Representation of Angion Biomedica Corp. in connection with the sale of Units consisting of Common Stock and Common Stock Purchase Warrants.
- Representation of Caymus Capital Partners in connection with the acquisition of MedLabs Laboratory Diagnostics, Inc., a New Jersey-based laboratory.
- Representation of DermOne Holdings LLC in connection with multiple acquisitions of dermatology and vein practices throughout the US.
- Representation of a family office in connection with the acquisition of Accredited Dermatology, Inc.
- Representation of a holding company in connection with the securitization and financing of pharmacy receivables.
Recent mergers and acquisitions experience includes:
- Representation of a New York based publishing company in connection with the disposition of a subsidiary engaged in community publishing.
- Representation of a Florida based private equity sponsor in connection with the acquisition of a Tampa, Florida based manufacturer of blinds and operator of home design centers.
- Representation of a New York based publishing company in connection with a leveraged acquisition of Marquis Who's Who and related publications.
- Representation of a Hong Kong based manufacturing and distribution company in connection with the acquisition of a China based manufacturer of party goods and a China based printer and manufacturer of books and specialty packaging, and related equity financing.
- Representation of the majority owner of a Long Island based wireless technology company in connection with the company's sale to a Maryland based private equity fund.
- Representation of a Hong Kong based company in connection with the acquisition of a New Jersey based specialty toy distributor, and related equity financing.
- Representation of a Maryland based telecommunications company in connection with its sale by merger to a Washington, D.C., based telecommunications company.
- Representation of a Hong Kong based toy company in connection with the acquisition out of bankruptcy of assets of a New York based toy company.
- Representation of a Canadian based toy distribution company in connection with its merger with a Hong Kong based toy manufacturer and distributor, and related equity financing.
- Representation of a New York based private equity sponsor in connection with the acquisition of Marquis Who's Who and related publications.
- Representation of a Long Island based developer of software products in connection with a sale of its tax preparation software division to a Fortune 500 publishing company.
Recent corporate finance experience includes:
- Representation of a New York based private equity sponsor in connection with a joint venture formed to acquire life insurance policies and a related subordinated debt financing.
- Representation of a Florida based entertainment company in connection with the private sale of shares of its common stock.
- Representation of a New York based specialty marketing firm in connection with the private offering of Class A and Class C Membership Interests.
- Representation of a New York based private equity sponsor in connection with a joint venture formed to acquire underperforming residential mortgage loans and a related debt financing.
- Representation of a Long Island New York software company in connection with the sale of shares of its Common Stock and Convertible Preferred Stock.
- Representation of a Pakistan based telecommunications infrastructure company in connection with the private sale of shares of its common stock.
- Representation of a Hong Kong based financial services oriented software company in connection with the private sale of shares of its common stock.
- Representation of a General Partner in connection with the organization of a $600 million private equity fund formed to pursue structured finance opportunities globally.
Insights
Speeches & Presentations
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"A New Year and New Stimulus Legislation Bring Significant PPP Developments," Crowell & Moring Webinar
(January 5, 2021).
Presenters: Amy Laderberg O'Sullivan, Paul J. Pollock, Eric Homsi, Olivia Lynch, and Michael E. Samuels.
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"How can we assess and mitigate risk when acquiring a company that has accepted a Paycheck Protection Program Loan?" Crowell & Moring Webinar
(December 7, 2020).
Presenters: Speakers: Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock, and Eric Homsi
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"The Anticipated SBA PPP Information Collection Efforts; What the SBA is Proposing for Borrowers and Implications of the Response," Crowell & Moring Webinar
(November 19, 2020).
Presenters: Mana Elihu Lombardo, Amy Laderberg O'Sullivan, Paul J. Pollock, Olivia Lynch, and Jared Engelking.
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"Paycheck Protection Program: SBA Issues Long Awaited Guidance on Loan Forgiveness and Review Procedures," Crowell & Moring Webinar
(May 28, 2020).
Presenters: Mana Elihu Lombardo, Stephanie Marcantonio, and Paul J. Pollock.
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"Paycheck Protection Program: Key Developments and Preparing for Inevitable Audits and Enforcement Actions," Crowell & Moring Webinar
(May 1, 2020).
Presentation: Mana Elihu Lombardo, Amy Laderberg O'Sullivan, Paul J. Pollock, and Olivia Lynch.
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"COVID-19 Stimulus Law Paycheck Protection Program: The Latest Developments," Crowell & Moring Webinar
(April 30, 2020).
Presenters: Stephen J. McBrady, Amy Laderberg O'Sullivan, Paul J. Pollock, D and David B. Robbins.
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"Paycheck Protection Program Essentials: Current Tripwires, Guidance, and Lessons Learned in the Sprint to Apply for Loans," Crowell & Moring Webinar
(April 7, 2020).
Presenters: Amy Laderberg O'Sullivan, Paul J. Pollock, Jeffrey C. Selman, Olivia Lynch, and W. Scott Douglas.
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"COVID-19 Stimulus Law Paycheck Protection Program and SBA Economic Injury Disaster Loan Lifelines for Small Businesses: Are You Eligible, How Do You Apply, and What are the Key Terms/Benefits?" Crowell & Moring Webinar
(March 31, 2020).
Preenters: Amy Laderberg O'Sullivan, Paul J. Pollock, Jeffrey C. Selman, and Olivia Lynch.
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"The Big Picture: Top Ten Things You Need to Know About the COVID-19 Stimulus Law," Crowell & Moring Webinar
(March 30, 2020).
Presenters: James G. Flood, W. Scott Douglas, Paul J. Pollock, Scott A. Lessne, Amy Laderberg O'Sullivan, S. Starling Marshall, Thomas P. Gies, Jacinta Alves, and Jerrica Mathis.
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"How Dealmaking in the Health Care Industry is Evolving," Dealmakers Breakfast Series, New York, NY
(September 27, 2018).
Host: Paul J. Pollock, Panelist: Jodi G. Daniel.
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"ACC’s New York City Chapter - The Art of Contracting: Tools and Tips for Identifying and Avoiding Common Traps in Commercial Contracts," ACC's New York City Chapter, New York, NY.
(June 15, 2017).
Presenters: Edwin M. Baum, Alan Howard, Ilana Lubin, and Paul J. Pollock.
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Webinar: The Art Of Contracting: Tools and Tips for Identifying and Avoiding Common Traps in Commercial Contracts - Part 2
(May 24, 2017).
Presenters: Ed M. Baum, Paul J. Pollock, Alan Howard, and Ilana Lubin.
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"The Art Of Contracting: Tools and Tips for Identifying and Avoiding Common Traps in Commercial Contracts - Part 1," Association of Corporate Counsel Webinar
(April 12, 2017).
Presenters: Ed M. Baum, Paul J. Pollock, Alan Howard, and Ilana Lubin.
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Family Office & Private Equity Dealmakers Breakfast Series: Private Equity in Health, Fitness & Wellness, New York, NY
(April 6, 2017).
Moderator: Paul J. Pollock.
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"The Art of Contracting: Tools and Tips for Identifying and Avoiding Common Traps in Commercial Contracts," Association of Corporate Counsel–New York City Chapter Signature CLE Program, New York, NY
(July 13, 2016).
Presenters: Edwin M. Baum, Alan Howard, Ilana Lubin and Paul J. Pollock.
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"Don't Sign that Yet!" Workshop 4, Crowell & Moring, New York, NY
(June 19, 2014).
Presenters: Edwin M. Baum, Brian Blitz, Elizabeth A. Figueira, and Paul Pollock.
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"Don't Sign that Yet!" Workshop 3, Crowell & Moring, New York, NY
(July 10, 2013).
Presenters: Edwin M. Baum, Elizabeth A. Figueira, and Paul Pollock.
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"Don't Sign that Yet!" Workshop 2, Crowell & Moring, New York, NY
(April 11, 2013).
Presenters: Joseph A. Adams, Edwin M. Baum, Alan Howard, and Paul J. Pollock.
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"Don't Sign that Yet!" Workshop 1, Crowell & Moring, New York, NY
(February 12, 2013).
Presenters: Edwin M. Baum, Dickerson M. Downing, Alan Howard, and Paul J. Pollock.
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"A Practical Approach: Exit Opportunities in a Recovery," Katten Muchin Rosenman LLP Seminar
(July 2010).
Speaker: Paul J. Pollock.
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2010 Deals and Diligence Symposium
(May 2010).
Speaker: Paul J. Pollock.
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"Distressed Investing: Selling/Buying Troubled Companies," The M&A Advisor's 4th Annual Distressed Investing Conference and Turnaround Awards Gala, "Recent Developments in Restructuring"
(March 2010).
Speaker: Paul J. Pollock.
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"A Practical Approach: How to Profit in a Down Economy by Buying Distressed Businesses," Katten Muchin Rosenman LLP Seminar
(March 2010).
Speaker: Paul J. Pollock.
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"Public Company Compliance Orientation for Key Employees," SEC Compliance Panel
(January 2010).
Speaker: Paul J. Pollock.
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"How Will Coming Regulation Affect the Private Equity Industry?" Buyouts South 2010
(January 2010).
Speaker: Paul J. Pollock.
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"Issues Faced by Lenders in Financing Distressed Companies Including DIP Financing," 2009 Due Diligence Symposium
(May 2009).
Speaker: Paul J. Pollock.
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"Private Equity's Role in the Changing Corporate Finance Landscape in Federal Regulation Affecting M&A," M&A Advisor Conference
(December 2006).
Speaker: Paul J. Pollock.
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"Creating Growth: Financing in the Small & Mid-Cap Market," M&A Advisor Conference
(December 2005).
Speaker: Paul J. Pollock.
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Interview, Good Day New York, "Financing a Franchise,"
(February 2003).
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Speaker, Private Equity Conference, "Venture: Early Stage Investing Near the Bottom of Cycle–Opportunity or Danger?,"
(January 2003).
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"The ABC's of Raising Money," NJTC Bootcamp
(May 2002).
Speaker: Paul J. Pollock.
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"Alternative Sources of Financing," New Jersey Capital Conference
(January 2002).
Speaker: Paul J. Pollock.
Publications
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"Issues in Using Unregistered M&A Brokers in Transactions," New York Law Journal
(October 31, 2016).
Authors: Paul J. Pollock, Linda Lerner, and Eden L. Rohrer.
Client Alerts & Newsletters
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"SBA Issues Application Forms for New and "Second-Draw" PPP Loans,"
Government Contracts Bullet Points
(January 11, 2021).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock, Michael E. Samuels
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"SBA Begins Rolling Out Guidance for New PPP and PPP Second Draw Loans,"
Government Contracts Bullet Points
(January 7, 2021).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock, Michael E. Samuels
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"Congress Passes Combined COVID-19 Relief and Omnibus Spending Bill,"
(December 23, 2020).
Contacts: Troy A. Barsky, Peter Eyre, James G. Flood, Glenn D. Grant, Olivia Lynch, S. Starling Marshall, Amy Laderberg O'Sullivan, Paul J. Pollock, Michael E. Samuels, Tim Shadyac
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"The Anticipated SBA Evaluation of PPP Borrower’s Economic Necessity Certification,"
Government Contracts Bullet Points
(November 13, 2020).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock
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"PPP Borrowers May Require SBA Consent or Escrowing of PPP Loan Balance in Connection with "Change of Ownership" Transactions,"
Government Contracts Bullet Points
(October 8, 2020).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock
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"SBA Issues PPP Loan Forgiveness FAQ, Providing Further Guidance,"
Government Contracts Bullet Points
(August 13, 2020).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock
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"The SBA Discloses Recipient Identity and Other Information for PPP Loans of $150,000 and Above,"
Government Contracts Bullet Points
(July 7, 2020).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock
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"SBA and Treasury Release New Forgiveness Applications and Revise Interim Final Rules to Conform to New PPP Flexibility Act Requirements,"
Government Contracts Bullet Points
(June 19, 2020).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock
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"New Interim Final Rule Clarifies Key Changes in Paycheck Protection Program,"
Government Contracts Bullet Points
(June 12, 2020).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock
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"President Signs New Paycheck Protection Program Changes into Law Offering Greater Flexibility,"
Government Contracts Bullet Points
(June 5, 2020).
Contacts: Olivia Lynch, Stephanie Marcantonio, Amy Laderberg O'Sullivan, Paul J. Pollock, W. Scott Douglas
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"The SBA Changes the PPP Eligibility Ground Rules – Providing New Calculation of Employee Count for Affiliates With Questions Remaining on Applicable Headcount for Applicants,"
Government Contracts Bullet Points
(May 19, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"SBA Releases Complex PPP Loan Forgiveness Application, Creating Further Need for Guidance,"
Government Contracts Bullet Points
(May 18, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"The SBA Extends the Safe Harbor Deadline for Return of PPP Loans to May 18, 2020,"
Government Contracts Bullet Points
(May 14, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"The SBA’s PPP Safe Harbor Deadline—of Tomorrow—Remains Firm With Added Protection on Smaller Loan Amounts,"
Government Contracts Bullet Points
(May 13, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"Continuing Uncertainty Around Loan Forgiveness in the Paycheck Protection Program,"
Government Contracts Bullet Points
(May 12, 2020).
Contacts: Olivia Lynch, S. Starling Marshall, Amy Laderberg O'Sullivan, Paul J. Pollock
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"SBA Extends "Safe Harbor" for Return of PPP Loans, Promises Further Guidance on the Economic Need Certification, and Creates Further Confusion Related to Its 500 Employee Standard,"
Government Contracts Bullet Points
(May 6, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"SBA Caps the Aggregate Amount of PPP Loans Each Corporate Family Can Receive,"
Government Contracts Bullet Points
(May 1, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"Government Adds FAQ Demanding Repayment of Paycheck Protection Program Loans from Companies with "Adequate Sources of Liquidity","
Government Contracts Bullet Points
(April 23, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"Congress Approves an Interim Stimulus Package Adding Over $480 Billion in Funding for Small Businesses, Health Care Providers, and Testing,"
Health Care Alert
(April 23, 2020).
Contacts: James G. Flood, Olivia Lynch, Paul Mourning, Amy Laderberg O'Sullivan, Paul J. Pollock, Matthew Vicinanzo, W. Scott Douglas
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"CARES Act Small Business Loans Today: Keeping Up and Ensuring Compliance,"
Corporate Alert
(April 5, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"CARES Act Small Business Loans Move Forward but with Significant Revisions,"
Government Contracts Bullet Points
(April 3, 2020).
Contacts: Amy Laderberg O'Sullivan, Paul J. Pollock, Olivia Lynch
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"CARES Act Paycheck Protection Program and SBA Economic Injury Disaster Loan Lifelines for Small Businesses: Are You Eligible, How Do You Apply, and What are the Key Terms/Benefits?,"
Corporate Alert
(March 31, 2020).
Contacts: Olivia Lynch, Amy Laderberg O'Sullivan, Paul J. Pollock
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"Proposed Legislation To Tax "Carried Interests" as Ordinary Income,"
Corporate Alert
(September 28, 2011).
Contact: Paul J. Pollock
Press Coverage
Firm News & Announcements
| December 16, 2019 |
DEAL NOTE: Crowell & Moring Advises Humana Inc. on Acquisition of Enclara Healthcare |
| November 26, 2019 |
DEAL NOTE: Crowell & Moring Advises GigCapital, Inc. on Business Combination with Kaleyra S.p.A. to Form Kaleyra, Inc. |
| September 20, 2019 |
Super Lawyers Recognizes 82 Crowell & Moring Lawyers Across United States |
| November 21, 2018 |
DEAL NOTE: Crowell & Moring Represents Novume Solutions in Acquisition of OpenALPR |
| October 15, 2018 |
Super Lawyers Recognizes 82 Crowell & Moring Lawyers Across United States |
| June 27, 2018 |
Crowell & Moring Awarded The Deal’s 'Most Innovative Deal of the Year' and the Association for Corporate Growth and the M&A Advisor’s 'Deal of the Year' |
| October 31, 2017 |
Super Lawyers Recognizes 79 Crowell & Moring Lawyers Across United States |
| May 23, 2017 |
DEAL NOTE: Crowell & Moring Advises R3 in Largest Ever Investment in Distributed Ledger Technology |
| February 21, 2017 |
DEAL NOTE: Crowell & Moring Advises UniPixel on Public Offering |
| November 21, 2016 |
Crowell & Moring Partner Paul J. Pollock Receives Lawyers Alliance for New York 2016 Cornerstone Award for Pro Bono Service |
| April 3, 2014 |
Deal Note: Crowell & Moring Represents Client Judith Ripka in Sale of Brand Name and IP |
| May 16, 2011 |
Crowell & Moring's Corporate Group Expands on Both Coasts with Two New Partners |