Jim provided clients with a wealth of experience and insight regarding securities regulation and corporate and transactional law, informed by more than 50 years of practice. He primarily focused on broker-dealer and investment adviser compliance, public company periodic reporting, new equity financings, and acquisitions and reorganizations involving publicly traded companies. He organized new business entities, structured complex transactions, coordinated international business ventures, and advised on corporate governance.
As part of his broker-dealer and investment adviser practice, Jim developed new compliance and risk mitigation strategies in the face of ever-changing regulations and market conditions. He assisted clients in compliance with securities registration requirements, anti-manipulation and anti-fraud prohibitions, and anti-money laundering regulation and reporting. Jim had strong experience in the operation and application of Rule 144, the interplay of federal and state regulation of the securities industry, and the application of registration requirements on broker-dealers, finders, and investment advisers.
Jim advised attorneys, accountants, and industry professionals in connection with Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), and SEC examinations, enforcement actions, and appeals. He represented companies, underwriters, and selling group members in private and public securities offerings. For issuers, he prepared offering documents for public and private financings and advised about accredited investor diligence and finder and agent registration.