Partner
CurrentMy practice focuses on state blue sky laws, broker dealer regulation and compliance, and securities offerings under the JOBS Act. I have worked with public and private companies as well as underwriters and placement agents on state law registration and exemptions for initial, secondary and private offerings. My broker dealer practice encompasses initial and continuing membership applications and a broad variety of compliance issues, including corporate financing compensation, Regulation M, research, communications and social media, Rule 15a-6 chaperone arrangements, and finders. In addition, I have advised investment advisors on exemptions and registration on both the federal and state levels. I participated on several FINRA panels related to membership and corporate financing issues and have been working proactively with the SEC, FINRA and state regulators to establish guidelines for accredited/crowdfunding portals authorized by the JOBS Act. I am admitted to practice in the state of New York.
