Cases
Representative Cases/Matters: Represented preferred stockholder in sale of its investment to the company in the amount of 12M.
Represented architectural
engineering firm in sale of business to a private equity group for 30M.
Represented several clients in formation of private equity funds ranging from 25M to 100M in size
advise them on their reporting obligations as exempt reporting advisers.
Represented registered public companies, investment companies
investment advisers in filings made with the SEC (10-Ks, 10-Qs, proxy statements, annual reports, Form ADVs)
advised them on SEC reporting requirements
compliance issues.
Represented online compliance training leader Workplace Answers in its sale to EVERFI, Inc., the nation's leading education technology innovator.
Represented client, a leading provider of AML/BSA solutions to financial institutions, in the sale of the company for 125M.
Represented buyer in purchase of assets from several manufacturers of custom architectural woodworking for public
commercial buildings, including hospitals, schools, banks, retail stores, restaurants
hotels.
Counseled significant shareholder of public company on beneficial reporting requirements
sale of over 3M of public company stock in compliance with Rule 144.
Represented management of a company engaged in selling commercial lift trucks in purchasing controlling interest of such company from existing shareholders.
Represented client in purchasing assets of company engaged in manufacturing
distributing products for the garage door industry for 13.5M.
Represented client in 15M sale of company engaged in the business of selling marketing leads including names, phone numbers, home addresses,
/or email addresses, to service providers in the real estate, home
garden,
insurance industries.
Represented client in forming a 50M real estate investment fund
setting up the management structure of the fund.
Represented a technology company in acquiring a new operating subsidiary for 10M.
Represented one of the largest mail carriers in the world in conducting an internal survey of its employees regarding the company's compliance with laws in various areas.
Represented public
private companies in completing reverse
forward stock splits.
Represented public utility company in 1934 Act filings
a series of primary
secondary public offerings including (1) a public, secondary offering of 800,000 shares of common stock by a major shareholder, (2) a public, secondary offering of 1M shares of common stock by its CEO
CFO
(3) a primary, public offering of 1.725M of newly issued common stock.
Played key role in the representation of a public utility company in a 10M acquisition of a gas marketing company
adoption of rights agreement (poison pill) to ward off future advances of hostile acquirers.
Represented minority shareholders in an effort to acquire controlling interest in publicly-traded company
control of the board.
Represented private equity firm in a 25M acquisition of a battery manufacturer
the 22M sale of a portfolio company engaged in the sale of various medical products
represented same client in 50M private placement.
Assisted in the representation of a closely-held corporation engaged in the business of providing surgical instruments to hospitals in the 70M sale of the company.
Represented company operating in the nickel industry in the 10 million redemption of the ownership interest held by one of its members.
