John O'Leary's Location
New York City Metropolitan Area, United States, United States
John O'Leary's Contact Details
John O'Leary work email
- Valid
- Valid
John O'Leary personal email
n/a
About John O'Leary
Versatile, perceptive and achievement driven Senior Attorney with demonstrated expertise in all aspects of securities laws with a concentrated focus on formation, private to public, and regulatory compliance.
John O'Leary's Current Company Details
Patrizio & O'Leary Llp
Managing Partner at Patrizio & O'Leary LLP
John O'Leary Work Experience Details
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Managing PartnerPatrizio & O'Leary Llp Sep 2020 - PresentProvide legal guidance to private companies going public through the registration of equity securities pursuant to the Securities Act of 1933 through underwritten initial public offerings and direct public offerings. Advise public companies on reverse merger transactions, debt and equity financing, PIPE transactions and equity line funding. Also advise public companies on change of control transactions, general corporate governance, compliance with stock exchange listings and the reporting requirements of the Securities Exchange Act of 1934, including the preparation of Form 14-A proxy statements, Form 14-C information statements, annual (Form 10-K), quarterly (Form 10-Q) and current (Form 8-K) reports.
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Chief Legal OfficerLifescient, Inc. Jan 2018 - Dec 2020Provided overall legal guidance and strategy to this privately held developmental stage company focused on the development of medical implants and medications to disperse extended pain relief medication for companion animals. -
Securities And Corporate AttorneyThe Crone Law Group Jan 2019 - Sep 2020Provided legal guidance to private companies going public through the registration of equity securities pursuant to the Securities Act of 1933 through underwritten initial public offerings and direct public offerings. Advised public companies on reverse merger transactions, debt and equity financing, PIPE transactions and equity line funding. Also advised public companies on change of control transactions, general corporate governance, compliance with stock exchange listings and the reporting requirements of the Securities Exchange Act of 1934, including the preparation of Form 14-A proxy statements, annual (Form 10-K), quarterly (Form 10-Q) and current (Form 8-K) reports.
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Securities And Corporate AttorneyLucosky Brookman Llp Jun 2016 - Dec 2018Woodbridge, Nj, UsProvided legal guidance to private companies going public through the registration of equity securities pursuant to the Securities Act of 1933 through underwritten initial public offerings and direct public offerings. Advised public companies on reverse merger transactions, debt and equity financing, PIPE transactions and equity line funding. Also advised public companies on change of control transactions, general corporate governance, compliance with stock exchange listings and the reporting requirements of the Securities Exchange Act of 1934, including the preparation of Form 14-A proxy statements, annual (Form 10-K), quarterly (Form 10-Q) and current (Form 8-K) reports. -
Securities And Corporate AttorneySzaferman Lakind Nov 2014 - Jun 2016Lawrenceville, New Jersey, UsProvided legal guidance to private companies going public through the registration of equity securities pursuant to the Securities Act of 1933 through underwritten initial public offerings and direct public offerings. Advised public companies on reverse merger transactions, debt and equity financing, PIPE transactions and equity line funding. Also advised public companies on change of control transactions, general corporate governance, compliance with stock exchange listings and the reporting requirements of the Securities Exchange Act of 1934, including the preparation of Form 14-A proxy statements, annual (Form 10-K), quarterly (Form 10-Q) and current (Form 8-K) reports. -
PrincipalLaw Office Of John O'Leary 2006 - Oct 2014
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Vice President - Assistant General CounselFiserv Securities Aug 2004 - Dec 2005Provided legal and regulatory advice to senior management for this full service securities clearing firm. Managed the negotiation and review of clearing agreements with introducing brokers. Led the filing of responses to inquiries and investigations by the Securities and Exchange Commission, the New York Stock Exchange, the National Association of Securities Dealers, and state regulatory organizations. Responsible for the development of the policy and procedure manual for the retail brokerage division and the firm wide anti-money laundering program.
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Assistant Vice President - Senior Compliance OfficerGruntal, Inc. Nov 2000 - Nov 2001Managed the retail and institutional trading activity of this boutique broker dealer’s investment and high yield corporate debt, municipal bonds, treasuries and agency securities to assure compliance with applicable legal and regulatory requirements. Daily and monthly reviews included excessive mark-ups/downs, large trades, swaps, trades with extended settlements, front-running, special offerings, underwriting and trade reporting. Responsible for all responses to federal and state regulatory inquiries and examinations relative to fixed income products. Conducted annual examinations and provided management with written reports of corporate, municipal and government fixed income securities. Developed and presented continuing education programs to fixed income traders and professionals.
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Associate Vice President, Assistant General CounselPrudential Securities, Inc. Aug 1995 - Oct 1999Newark, New Jersey, UsProvided legal, regulatory, and compliance advice for the retail division of a full service securities broker/dealer. The securities included debt and equity positions, mutual funds, unit investment trusts and options. Provided management, financial advisors and traders with technical and interpretive advice relating to all aspects of the financial services industry. Reviewed and implemented internal compliance policies and procedures. Conducted internal investigations on potential employee and client misconduct. Represented firm in retail litigation in arbitration forums and responded to state and federal regulatory inquires pursuant to the self-regulatory rules of the National Association of Securities Dealers, Inc., New York Stock Exchange, Inc., Chicago Board Options Exchange and applicable state blue sky laws.
John O'Leary Skills
Mergers And Acquisitions
Financial Services
Securities
Investments
Arbitration
Litigation
Sec
Mutual Funds
Equities
Trading
Corporate Law
Sec Compliance
Brokers
Start Ups
Aml
Retail Brokerage
Regulatory Submissions
Finance
Management
John O'Leary Education Details
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Quinnipiac University School Of LawJuris Doctor (Jd) -
Temple UniversityDual Major: Finance/Business Law
Frequently Asked Questions about John O'Leary
What company does John O'Leary work for?
John O'Leary works for Patrizio & O'leary Llp
What is John O'Leary's role at the current company?
John O'Leary's current role is Managing Partner at Patrizio & O'Leary LLP.
What is John O'Leary's email address?
John O'Leary's email address is jo****@****ast.net
What schools did John O'Leary attend?
John O'Leary attended Quinnipiac University School Of Law, Temple University.
What skills is John O'Leary known for?
John O'Leary has skills like Mergers And Acquisitions, Financial Services, Securities, Investments, Arbitration, Litigation, Sec, Mutual Funds, Equities, Trading, Corporate Law, Sec Compliance.
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