Clients from a variety of industries turn to Kevin for guidance and counsel on a broad range of matters pertaining to securities. He has extensive experience in public and private securities offerings, broker-dealer compliance (particularly regarding resales of restricted securities under Rule 144 and otherwise), and regulatory enforcement defense with the U.S. Securities Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), and state securities regulators.
His practice includes preparing offering documents for public and private financings, preparing ongoing disclosures to stockholders and the investment community, advising broker-dealers and investment advisors, and other related securities matters.
Kevin also advises companies on corporate and transactional matters including environmental, social and governance (ESG) matters, structuring complex mergers and acquisitions, and coordinating international business ventures with local legal counsel, accountants, and governmental authorities.
Additionally, Kevin provides guidance to clients on other matters important to their businesses, including business planning, structuring, entity selection and formation, and contract preparation and review. He is seasoned in integrating securities, corporate law, and financial reporting requirements.