Stacy B. Email & Phone Number

Cleveland, Oh, Us

Beachwood, Ohio, United States

Providing high quality business guidance to a wide array of clients, including tax exempt organizations, small-medium sized businesses, and public and privately held companies. Our services include business coaching, turn-around consulting, outsourced CFO, non-profit board development and fundraising, corporate finance, due diligence, corporate restructuring and more. We bring focused leadership and management skills, creative approaches to business issues, and strong team-building skills to meet our clients' needs.

Cleveland/Akron, Ohio Area

Beachwood, Ohio

Business law firm serving as outsourced general counsel, providing advice and solutions to small businesses and non-profit organizations. We draft and negotiate sophisticated documents, and support our clients in negotiating the best available terms. We bring focused leadership and management skills, creative approaches to business and legal issues, and strong team-building skills to meet our clients’ needs.

Provide real estate services for sellers and buyers of both residential and commercial properties, based out of the Solon, Ohio office.

Provide real estate services for sellers and buyers of both residential and commercial properties, based out of the Solon, Ohio office.

Part-time practice serving general corporate clients, investment advisers and related businesses. Provided a senior legal resource to deal with complex strategic transactions, including strategic planning and implementation, merger and acquisition support and management support of diverse operations. Additional expertise includes regulatory compliance, contract drafting/negotiating and bankruptcy preference matters. A client sampling includes a $250 million registered investment adviser, a start-up urgent care facility and a Chapter 11 trustee to a $300 million company.

Part-time instructor of Business Law and The Legal Environment of Business.

In-house counsel and chief compliance officer for VESTAX Securities Corporation, a national independent contractor broker/dealer of approximately 600 registered representatives. The firm is a subsidiary of ING Group, a global financial institution specializing in insurance, banking and asset management, with assets in excess of $400 billion.• Served as member of senior management. Managed and supervised a staff that included compliance, audit and licensing functions.• Provided legal and regulatory consultation to senior management of ING U.S. Broker/Dealer Network in the development and implementation of new policies, procedures and structures.• Significantly enhanced compliance program: created policies and procedures, audit system, internal tracking systems, continuing education program, OSJ principal responsibilities, handled customer complaints, litigation management.• Managed Ohio, NASD and SEC exams of the broker/dealer, resulting in minimal findings.

In-house counsel specializing in investment management, with corollary responsibilities in mutual funds and brokerage, and commercial lending transactions. Investment Management, Mutual Funds and Brokerage• Designed and created a $20 billion registered investment adviser subsidiary of a national bank, with ongoing responsibilities as its general counsel and secretary.• Designed and implemented compliance program; created policies and procedures for investment adviser subsidiaries.• Provided legal consultation to senior management in the development and implementation of new products and services, corporate structure, proposed acquisitions and joint ventures.• Managed the second-ever joint SEC/OCC exam of an investment adviser, its proprietary mutual funds and affiliated trust company, resulting in minimal findings.• Designed and created investment adviser partnership servicing primarily the Native American community.• Negotiated a seven figure settlement with a brokerage firm for its improper practices.• Performed due diligence of acquisition candidates; identified adverse regulatory or operational conditions, leading to management’s reassessment of the value of such candidates; participated in purchase and sale negotiations of investment adviser subsidiaries.• Designed and created new products and services, achieving consensus among numerous constituencies.• Obtained no-action relief from the SEC, permitting proprietary Index Fund to invest in KeyCorp’s common stock.Other Responsibilities• Prepared listing application enabling Society Corporation to list on the New York Stock Exchange.• Documented and negotiated commercial loans, equipment leases and real estate loans.• Purchased, sold, leased and subleased corporate real estate.

Provided counsel on general securities, investment adviser, corporate and commercial issues.• Drafted and negotiated private placement memoranda, franchise documents, employment and shareholder agreements; prepared and prosecuted trademark applications.• Reviewed and negotiated commercial leases.• Implemented a for-profit conversion and acquisition of a managed care provider

Interned for the Honorable Abner J. Mikva. Drafted advisory bench memoranda and analytical digests of appellate briefs, screening memoranda, opinions and orders, and miscellaneous works such as speeches and memoranda to other chambers.

Juris Doctorate, Law

Graduated cum laude

Ba, English

Studied abroad, Grand Duchy of Lumexbourg

Education record