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Overview

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.

Additionally, Jim represents accounting professionals in Public Company Accounting Oversight Board (PCAOB) and SEC supervision, regulation, and disciplinary matters.

Honors & Recognitions

  • Utah Business Magazine's Legal Elite, 2005-2015
  • Martindale-Hubbell® AV Preeminent Rated

Professional Activities

  • Utah State Bar
    • Securities and Corporate Law Sections
    • Securities Advisory Committee to the Utah Securities Division, 1984-1996
    • Chairman of Securities Section, 1982-1983
  • Member (appointed by Governor Matheson), Utah State Securities Advisory Board, 1983-1986

Education

Admission

Community Involvement

  • Member, Board of Governors, Nebraska Wesleyan University, 1990-2014
  • Former member, Board of Trustees, Realms of Inquiry School
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