Jim provides 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 focuses on broker-dealer and investment adviser compliance, public company periodic reporting, new equity financings, and acquisitions and reorganizations involving publicly traded companies. He organizes new business entities, structures complex transactions, coordinates international business ventures, and advises on corporate governance.
As part of his broker-dealer and investment adviser practice, Jim develops new compliance and risk mitigation strategies in the face of ever-changing regulations and market conditions. He assists clients in compliance with securities registration requirements, anti-manipulation and anti-fraud prohibitions, and anti-money laundering regulation and reporting. Jim has 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 advises 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 represents companies, underwriters, and selling group members in private and public securities offerings. For issuers, he prepares offering documents for public and private financings and advises about accredited investor diligence and finder and agent registration.