Michael Stringfellow Email & Phone Number

Review and drafting of federal and state contracts and amendments; Review brokerage, mutual fund and investment company sales agreements; Drafting of board minutes; officers' certificates and other necessary supporting documents; Review UCC statements and reports, drafting of amendments and terminations for same; Incorporate corporations and prepare filings for LLC and other entities; Draft organization minutes and documents for profit and non-profit companies.

Work with attorney and clients to collect and organize information with regard to offerings and company information; Review company records, DTC information, market maker and broker information of public companies; Prepare detailed corporate profiles of shell companies.Coordinate the timely filing of the registration statements, amendments, and exhibits with the SEC via Edgar.Assist in monitoring Form 8-K reportable events; Draft for attorney review portions of registration, quarterly, and annual reports, such as Forms 8-K, 10-Q, 10-QSB,10-K, 10-KSB and amendments to each; Draft for attorney review forms to report insider trading to comply with requirements of Section 16, such as Forms 3, 4, and 5.Draft for attorney review opinion and documentation regarding Rule 144 and 145 sales of stock. Coordinate with selling shareholders, brokers, transfer agents and company to process Rule 144 sales and Rule 144k legend removal.Legal research with respect to private offerings within the scope of Section 4(2) of the Securities Act of 1933 and the availability of exemptions under Rules 504, 505 or 506.General corporate housekeeping.

Legal research with respect to private offerings within the scope of Section 4(2) of the Securities Act of 1933 and the availability of exemptions under Rules 504, 505 or 506.Preparation of UCC statements and preparation of UCC summary reports.Assisting in the preparation of closing documents for mergers and acquisitions; assisting in the preparation of closing documents for all phases of public and private offerings; drafting of opinions for the transfer of restricted stock.

Responsible for all blue sky compliance matters for a large international investment bank, including the initial and post effective filings for the unit investment trust division; legal research and drafting of memoranda for broker-dealer and investment adviser blue sky issues.Maintenance of 50-state blue sky surveys for firm use, research and drafting of “no-action’ letters for specific hedge fund issues.

B.A., Legal Studies

Certificate In Aba Approved Paralegal Studies Program, Generalist Program