Jim provides clients with a wealth of experience and insight regarding corporate and transactional law and securities law, informed by more than 40 years of practice. He primarily focuses on new equity financings, corporate acquisitions and reorganizations involving publicly traded companies, and broker-dealer and investment adviser representation.
Of particular interest to Jim is understandable and readable disclosure profiles and presentation, including the development of overall communication strategies and the drafting of specific language for sensitive matters. He actively explores new compliance and risk mitigation strategies for securities broker-dealers in the face of ever-changing market conditions to understand and educate them about compliance with securities registration, anti-manipulation and anti-fraud prohibitions, and anti-money laundering requirements.
Jim has strong experience in broker-dealer and registered investment adviser regulatory compliance strategies and procedures, securities liquidation policies and procedures, U.S. Securities Exchange Commission (SEC) periodic reporting and shareholder actions, complex deal structuring, and private placements. He is well-versed in organizing new business entities, coordinating international business ventures, and advising on corporate governance, as well as defending Financial Industry Regulatory Authority (FINRA) and SEC enforcement actions. He represents companies and selling group members in private and public securities offerings and prepares offering documents and for public and private financings.
Jim also advises clients about the application of the securities laws to ICOs, blockchain and cryptocurrency applications, including cryptocurrency investment fund compliance with the registration and anti-fraud provisions of securities laws and compliance with the Investment Company Act and the Investment Advisers Act.
Additionally, Jim represents accounting professionals in Public Company Accounting Oversight Board (PCAOB) and SEC supervision, regulation, and disciplinary matters.