I am a business, corporate and securities attorney with over 15 years of consulting and legal practice in establishing start ups, investment management and financial services. I also have SEC regulatory experience in the 1940 Acts and securities regulations.
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My practice focuses on incorporating businesses, drafting the necessary documents such as partnership, operating and shareholder agreements as well as by-laws and assisting businesses with raising capital by establishing Reg D private placements, Reg A small securities offerings,...
Jul 30, 2013|Other - Legal|Private|Completed
Dec 28, 2012|Business and Corporate|Private|Completed
Jun 30, 2012|Business and Corporate|Private|Completed
May 24, 2012|Business and Corporate|Private|Completed
Incorporation (LLC, Corporate and Non Profit)
Private Placement Memorandums
Asset Purchase Agreements
Investment Adviser Registration and Compliance
Employment/Independent Contractor Agreements
Software/Mobile Application Licensing Agreements
Trademarks & Copyrights
SSL Certificate Opinion Letters
Drafts limited partnership agreements for hedge funds, private equity and venture fund formations, merger agreements, stock purchase agreements and credit agreements.
Represents issuers in private placements of securities under Regulation D to accredited, institutional and other investors.
Counsels newly formed investment advisers regarding organizational structure and compliance.
Initiates, develops, maintains and revises policies and procedures for the firms'compliance programs.
Monitors the performance of the compliance program.
Reviews and evaluates compliance issues and concerns and ensure that they are investigated and resolved.
Establishes small issues of securities under Regulation A.
Drafts incorporation documents, by-laws, operating agreements, service provider contracts and other corporate documents.
Assists entities in non-profit formation including filing and obtaining 501(c)(3) status.
Drafted and updated registration statements requiring filing under the federal securities laws;...
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