Raising Capital — Securities:

Counseled, helped to structure, drafted and submitted the necessary Federal and Blue Sky filings in connection with more than 30 private placements (under Roles 504, 505, and 506 of Regulation D as well as various state and other Federal statutes)—private placement of securities for manufacturing operations, real estate developments, a bank holding company, publishing, real estate brokerage, entertainment, financial services, oil and gas, research and development, and professional services firms.

Represented clients, by counseling, structuring, negotiating, conducting NASD arbitrations or litigation (in state or federal court), in connection with various alleged securities law violations.

Counseled the client, and drafted the necessary documents, for a proposed $20m private offering of securities in a bank holding company.