Corporate Transactions

With 30 years of securities industry experience, I provide corporate, LLC and other entity formation and operational guidance including:

  • Guidance on Choice of Entities
  • ByLaws
  • Multiple Classes of Stock
  • Buy/Sell agreements
  • Mergers and Acquisitions
  • Protective Strategies for Officers and Directors

Entity Financing

  • Private Securities Transactions and Placements
  • Pre-going Public Planning
  • Negotiations with Investment Bankers and Underwriters

Broker-Dealer Sales and Acquisitions

  • FINRA 1017 Applications