George S. Georgiades
George S. Georgiades, of counsel to the Firm, focuses his practice on capital formation transactions and providing regulatory compliance advice for broker-dealers, investment advisors and crowdfunding portals. He has extensive experience in structuring, negotiating and consummating initial and other public and private securities offerings with a particular focus on technology driven finance, including Crowdfunding, Regulation A+ and Initial Coin Offerings.
In the securities area, Mr. Georgiades is known for his early involvement in the establishment of new securities programs, such as Crowdfunding and Regulation A+. He represents several leading venture-backed funding platforms and crowdfunding portals (both US and non-resident) from inception as well as other FinTech service providers. He routinely advises companies on registration requirements under the investment companies, investment advisor and broker-dealer regulations as well as best practices in structuring operations to comply with exemptions from registration.
As a former regulatory counsel and compliance officer to both a registered broker-dealer and multi-billion dollar registered investment advisor, he routinely advises such firms on regulatory compliance matters ranging from updating by state and federal regulators. He works with new broker-dealers on SEC registration, development of written supervisory procedures, formation of Alternative-Trading-Systems (ATS), FINRA examinations (including FINRA 8210 responses), and development of broker-dealer funding platforms. He routinely represents investment banks in their role as underwriter or placement agent.
In the corporate area, Mr. Georgiades represents companies across many industry sectors with respect to formation, shareholder/founder agreements, corporate governance and restructurings. He works with companies on a variety of M&A, joint ventures and other strategic agreements. His clients include investment funds, startup firms and publicly traded companies across a wide variety of industries.
In-house experience includes serving as Regulatory Counsel to Garrison Investment Group LP, a leading middle market credit and asset based investment advisor ($4.2 billion AUM) and Associate Counsel and Compliance Officer at Maxim Group LLC, a FINRA registered broker-dealer. Mr. Georgiades has also served as outside general counsel to select clients, including FinTech and a registered transfer agent, managing legal risk and obligations. He holds a Master of Laws (LL.M/Hons) in Banking, Corporate and Finance Law from Fordham School of Law, where he also studied Economics at the undergraduate level, and Bachelors of Laws (LL.B) in Commercial Law from University of Westminster School of Law in London, United Kingdom. He is admitted to practice law in the State of New York.
Relevant Speaking Engagements
Crittenden Real Estate Conference, “Looking to Raise Capital in Real Estate Offerings? New Reforms & Opportunities in Technology Driven Finance” Moderator/Speaker, Miami, Florida. October 2017
Queens College Incubator, “Founders Forum: Business entity Formation and Choosing Your Board of Directors”, Speaker, New York. September 2017
National Crowdfunding Associations (Canada) Annual Conference, “International: Raising Significant Capital? Cross-Border Markets and Multi-Prong Strategies”. Toronto, Canada. January 2017
CrowdFundBeat New York Conference, “Crowdfunding Investing and Risk Mitigation” New York City, New York. February 2017
ABX Conference, “Real Estate Finance and Raising Capital Online” Boston, Massachusetts, November 2016
Strafford Publishing Webinar (CLE), “Funding Platforms for Rule 506 Offerings: Navigating Broker-Dealer Registration Exemption for Investment Advisers and Issuers” October 2016
DealFlow Crowdfunding Conference, “Legal & Regulatory Considerations in Operating a Crowdfunding Portal or Private Placement Platform for Accredited Investors” New York City, September 2016.
Crittenden Real Estate Conference, “Real Estate Finance & Crowdfunding” Miami, Florida. September 2016
Corporate Counsel Congress “Managing the In-House Career – Required Skill Sets of a General Counsel” New York City, New York. June 2016
FundIt Crowdfunding Compliance National Conference, “Reg A: Tips for Getting Your Forms 1-A Qualified & Broker-Dealer Rule 5110 Filings Completed”. Las Vegas, Nevada. April 2016