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  • June 10 2019

    Joan Adler, a member of the Firm, specializes in state blue sky laws and broker dealer regulation. She has worked with public and private companies as well as underwriters and placement agents on state law exemptions and registration for initial, secondary and private offerings. Her broker dealer practice runs the gamut from initial through continuing membership and a wide range of compliance issues, including corporate financing compensation, Regulation M, research, communications and social media, Rule 15a-6 chaperone arrangements, unregistered finders, and unregistered crowdfinance platforms. Ms. Adler has shepherded many firms through the broker dealer membership process. In addition, she has advised investment advisors on exemptions and registration on both the federal and state levels. She has participated on several FINRA panels and provided guidance to for the New Membership Application Program, Rule 5110 corporate financing issues, revamping the Public Offering System electronic filing process, and rules for funding portal membership and regulation.  Ms. Adler works on a variety of initiatives to support the firm’s transactional business for traditional and emerging capital markets issues (including blockchain and secondary trading concerns). 

    Ms. Adler is admitted to practice in the state of New York and is a member of the American Bar Association subcommittees for the State Regulation of Securities Laws, FINRA Corporate Financing Rules, Broker-Dealers and Investment Advisers and Private Placement Broker Dealers. She received her JD from Washington College of Law at American University where she was a member of the Law Review and her BA in Communications from Queens College.

  • June 10 2019

    Richard I. Anslow, a member of the Firm, is a senior corporate and securities attorney whose practice focuses on domestic and international securities, financings, mergers and acquisitions and general corporate representation. His practice encompasses representation of a variety of public and private company issuers, investors and investment banks.

    In the securities area, Mr. Anslow has extensive experience in structuring, negotiating and consummating initial and other public offerings, “PIPE” offerings and other public and private corporate financings (including private equity and venture stage), as well as reverse merger transactions, including for domestic and international companies (including Chinese and Canadian companies).

    In the corporate area, he represents companies across many industry sectors in mergers and acquisitions, public reporting requirements, corporate governance, Sarbanes-Oxley compliance, corporate formations and corporate restructurings. He also represents companies in their efforts to list or be quoted on United States stock exchanges, including NYSE and NASDAQ, as well as assisting FINRA registered broker-dealers in the Form 15c-211 process to obtain quotations on the Over the Counter Bulletin Board and OTCQX and OTCQB Markets.

    Mr. Anslow is a frequent lecturer in the areas of PIPE and other financing transactions, going public through reverse mergers (including reverse mergers with simultaneous financings, known as Alternative Public Offerings) and self filings, and working with Chinese-based public companies. He has also been a frequent contributor to articles included in industry publications such as the Reverse Merger Report and the PIPEs Report.

    Prior to joining the Firm, Mr. Anslow was the founder and managing partner of Anslow & Jaclin, LLP for 20 years. Prior to that, he worked as a tax attorney for Ernst & Young (formerly known as Arthur Young & Co.) in New York City. Mr. Anslow is a member of the American Bar Association, New York State Bar Association and New Jersey State Bar Association committees on various areas of securities law.

    Mr. Anslow received his J.D. from the Benjamin N. Cardozo School of Law and a Bachelor of Science Degree in Accounting from the State University of New York at Buffalo. He is admitted to practice in New York, New Jersey and the District of Columbia.

  • June 10 2019

    Alex Weniger-Araujo, of counsel to the Firm, is a corporate and securities attorney.  He focuses his practice on venture finance and general corporate law. He represents both foreign and domestic emerging growth and high technology company issuers and investors in private placement, equity crowdfunding, and Regulation A offerings.

    Prior to joining the Firm, he led product development for a legal technology company, was the founder of a real estate analytics SaaS platform, and was previously general counsel at a New York-based venture development firm focused on Seed to Series-A stage companies.

    Mr. Weniger-Araujo holds a bachelor’s degree in economics from George Mason University and earned his Juris Doctor degree from Loyola University College of Law. He is admitted to practice in the State of New York and is fluent in Spanish.

  • June 10 2019

    Richard Baumann, a member of the Firm, is a seasoned corporate and securities attorney who represents underwriting and placing banks, securities issuers, shareholders and others in equity and debt capital markets transactions. He also regularly advises on other complex securities, M&A, corporate governance, and general corporate matters, often on a cross-border basis.

    For over 25 years, Mr. Baumann has represented global and regional investment banks and securities issuers in equity IPOs, high-yield and investment-grade debt offerings, and other substantial capital markets transactions. For many of those years, Mr. Baumann was based in London, and advised on cross-border transactions originating throughout Europe and in India, China and Africa.

    Mr. Baumann’s transactions have involved listings on most of the world’s leading stock exchanges, including the New York Stock Exchange, NASDAQ, the London Stock Exchange (Main Market and AIM), and exchanges in Mumbai, Hong Kong, Frankfurt, Luxembourg and Lima, among others. He has also advised on a substantial number of Rule 144A/Regulation S offerings. Mr. Baumann also counsels clients on secondary market securities transactions, the ongoing public reporting requirements of issuers and shareholders, contested and uncontested proxy and consent solicitation matters, investment company matters, corporate governance requirements, mergers and acquisitions transactions and other public- and private-company matters.

    Mr. Baumann practiced for many years at Davis Polk & Wardwell in New York and London. While in London, he was also a partner at Norton Rose (now Norton Rose Fulbright), where he helped establish that firm’s cross-border US securities practice, and a partner at Dorsey & Whitney, where he helped establish that firm’s international securities practice as a market leader in India. Prior to joining the Firm, he was a partner at Morrison Cohen LLP in New York.

    Mr. Baumann has a bachelor’s degree from Princeton University’s Woodrow Wilson School of Public & International Affairs and earned his J.D. at NYU Law School.

    Rich’s representative transactions include:

    • Representing Cowen and Company in multiple transactions in the SPAC markets.

    • Privatization of the National Power Grid of India (Deal of the Year award, India Business Law Journal).

    • Representing Maxim Group LLC as placement agent in multiple web-based Rule 506(c) offerings and as underwriter in multiple public offerings.

    • Representing Fig Publishing, Inc. in multiple offerings of its innovative new security, Fig Game Shares, using Reg A+.

    • Comprehensive securities law advice for US public companies (including rights, at-the-market and preferred share offerings, shelf takedowns, ongoing corporate governance matters, and multiple successful proxy contests).

    • Partial exit of Citi Venture Capital International from Pesquera Exalmar S.A. as part of that company’s international IPO (nominee, Corporate Finance Deal of the Year, LatinLawyer).

    • First successful international Offer for Sale (a new form of offering under India’s securities laws) by the Government of India, selling $1.1 billion of its shares in NMDC, Ltd., the Indian mining company.

    • International IPO and Hong Kong Stock Exchange listing of Computime (Best Small-Cap Equity Deal of the Year, FinanceAsia).

    • Representing Morgan Stanley in multiple U.S. IPOs of international companies.

    • Representing Goldman Sachs in multiple high-yield debt offerings.

    • International IPO and London Stock Exchange listing of easyJet plc (European Corporate Finance Deal of the Year, Airfinance/Euromoney) and follow-on offerings by easyJet.

     

  • June 10 2019

    Andrew Lloyd-John Berg, an associate of the Firm, practices in all areas of corporate and securities law, with a particular focus on mergers and acquisitions, public and private equity finance, securities law compliance and general corporate matters.  Mr. Berg has represented clients in various industries, including the financial services, real estate, life sciences, consumer products, security and technology sectors.

    Prior to joining the Firm, Mr. Berg was an attorney at the international Am Law 100 firm of Seyfarth Shaw LLP in New York, New York.

    Mr. Berg received his Juris Doctor degree from Suffolk University Law School in Boston, Massachusetts and his Bachelor of Science degree in Business Administration from the University of Nebraska in Lincoln, Nebraska.  Mr. Berg is admitted to practice law in the States of Massachusetts and New York.

  • June 10 2019

    Matthew Bernstein, an associate of the Firm, practices in all aspects of corporate and securities law.

    Prior to joining the Firm, Mr. Bernstein worked as a summer associate for Maxim Group LLC, a leading broker dealer and investment bank in New York.  Currently, Mr. Bernstein sits on the Generation Next Board of The American Friends of Beit Izzy Shapiro and is a big brother for the Jewish Big Brother Big Sister Program.

    Mr. Bernstein earned a Bachelor of Science in Industrial and Labor Relations, with a concentration in Economics, at Cornell University and earned his Juris Doctorate at Fordham University School of Law. He is admitted to practice in the States of New York and New Jersey.

     

  • June 10 2019

    Zachary D. Blumenthal, a member of the Firm, is a corporate, securities and broker-dealer regulatory attorney.   Mr. Blumenthal’s practice focuses on public and private equity and debt finance transactions, securities law compliance, mergers and acquisitions, broker-dealer regulation, and corporate governance.  He frequently represents issuers, investors, underwriters, and placement agents in connection with initial and follow-on public offerings and other registered and private offerings of equity and debt securities, including registered direct offerings, CMPOs, at-the-market offerings, public and private equity line transactions, PIPEs, debt-for-equity exchanges, and Rule 144A, Regulation S, and other cross-border securities offerings.   Mr. Blumenthal has extensive experience with applicable regulatory authorities, including the SEC, FINRA, and NASDAQ.  His practice also includes general corporate transactions and commercial matters.

    Prior to joining the firm in 2019, Mr. Blumenthal was a partner at Robinson Brog Leinwand Greene Genovese & Gluck P.C. in New York.  Mr. Blumenthal received his J.D. from Hofstra University School of Law, where he was an Editor for the Journal of International Business & Law and authored a published Student Note entitled, The Punishment of All Athletes: The Need for a New World Anti-Doping Code in Sports, 9 J. Int’l Bus. & L. 201 (Spring 2010).  He was also a member of the Moot Court Board for the school’s Moot Court Association and served as Secretary for the Sports and Entertainment Law Society.   He is admitted to practice law in the State of New York and the State of New Jersey.

  • June 10 2019

    Martin R. Bring, a member of the Firm, represents public and private companies in all aspects of corporate and securities matters. Mr. Bring is engaged in general corporate representation and advises a wide range of private and public companies, both domestic and foreign. Mr. Bring has extensive experience in the areas of corporate finance, private and public offerings (including blind pool offerings or SPACs) of debt and equity securities for U.S. and foreign companies (representing both issuers and underwriters), commercial bank loans (representing both lender and borrowers) and financial restructurings, mergers and acquisitions, SEC reporting matters and other general corporate matters. He has also written and lectured on the topic of Sarbanes-Oxley compliance. Admitted to practice in 1968, Mr. Bring was most recently a senior shareholder and Chairman of the Corporate Group at Anderson Kill & Olick P.C. in New York. Mr. Bring received his law degree from Yale University and a Bachelor of Arts degree from the University of Rochester.

  • June 10 2019

    Robert F. Charron, a member of the Firm, has worked on behalf of investment banks, registered broker-dealers, public companies and both institutional and high net worth individual investors that invest in private and public companies. He specializes in structuring, documenting and servicing PIPE (Private Investment in Public Equity) and equity line of credit type financings for his clients.

    Mr. Charron received his law degree from Boston University School of Law and received a B.A. in economics and business administration from the University of New Hampshire.

    Prior to law school, Mr. Charron served for two years with the United States Peace Corps in Kenya as a small business advisor and high school teacher. Prior to joining the Firm, he was associated with the law firms of  Weinstein Smith LLP, Epstein Becker & Green and Brown Rudnick Freed & Gesmer.

  • June 10 2019

    Jonathan H. Deblinger, a member of the Firm, represents both publicly-traded and privately-held companies, including UK entities, across a wide range of industries, including investment services, hospitality, technology, biotechnology, fashion, internet media and security services. His principal experience includes representing buyers and sellers in mergers and acquisitions with operating companies and by private equity firms, and issuers and investors in private and public investment transactions.

    Mr. Deblinger assists public companies with the preparation and filing of 1933 Act registration statements, including those related to IPOs, secondary offerings, rights offerings and registered direct offerings, and 1934 Act reports and registration statements. He also advises public companies on PIPE transactions and tender offers and their related issues, going private transactions, listing compliance for various stock exchanges and securities law compliance.

    Mr. Deblinger also counsels hedge funds, private equity funds, venture capital funds and other companies in general business matters, including formation, capital raising, joint ventures, acquisitions, investments, bankruptcy related sales and financings and other strategic business relationships.

    Prior to joining the Firm, Mr. Deblinger was a partner at Olshan Frome Wolosky LLP.  Mr. Deblinger received his Juris Doctorate from Fordham University School of Law, where he was Managing Editor of the Fordham Urban Law Journal.  Mr. Deblinger graduated with his Bachelor of Science from the Honors Program at the Kelley School of Business, Indiana University, with concentrations in finance and accounting.  He is admitted to practice in the State of New York.

  • June 10 2019

    Michael A. Dinowitz, a member of the Firm, is a real estate and business attorney with a concentration in real estate related transactions including sales, acquisitions, financings (permanent, construction, mezzanine and bridge), joint ventures, development, leasing, workouts and restructurings. He represents a diverse group of clients, including owners, operators, developers, investors, lenders, borrowers, brokers and management companies. Mr. Dinowitz regularly deals with the structuring and implementation of joint venture operating and partnership agreements.  He also handles general corporate and business matters involving diverse commercial agreements and business issues.

    Mr. Dinowitz received his J.D. from Brooklyn Law School in 1987 and his B.A. from the State University of New York at Albany, magna cum laude, in 1983 and has been a member of the New York and New Jersey bars since 1987.

  • June 10 2019

    Tamar Donikyan, a member of the Firm, practices corporate and securities law, with an emphasis on the representation of publicly-traded companies, the formation, financing and general representation of emerging growth companies and the representation of issuers, investors and investment bankers in transactions that raise capital through the public and private equity and debt markets. Ms. Donikyan has counseled public and private company clients in a range of corporate and securities matters, including initial and follow-on public offerings of equity and debt, mergers and acquisitions, venture financings, SEC reporting and compliance and corporate governance.  For many clients, Ms. Donikyan acts as “outside general counsel,” and has advised public companies and their boards on complex decisions as they balance best practices in corporate governance with attaining business goals and protecting shareholder value.  By combining a nuanced understanding of securities laws, market practices and deal dynamics with her deep understanding of clients’ history and background, Ms. Donikyan offers practical and creative approaches to problem solving.

    Ms. Donikyan and the rest of the corporate and securities department distinguish themselves from many other transactional lawyers on the basis of their ability to be part of the establishment of new securities programs, like PIPEs, SPACs and Registered Directs.  The Firm’s professionals have played leadership roles within each of these industries by assisting in the creation, formation and strategies relating to these transactional models, as well as working closely with the regulatory agencies and national securities exchanges in their reviews of these alternatives transaction structures.  In particular, Ms. Donikyan has an active practice representing SPACs in their IPOs and in their business combination transactions, as well as in PIPE transactions concurrent to the closing of a SPAC business combination.  Together with our transaction team, Ms. Donikyan has created and implemented innovative deal structures driven by extensive knowledge of the SPAC industry trends and evolving market terms and the regulatory and exchange rules governing SPACs.

    Ms. Donikyan has also acted as counsel on a pro bono basis to several women entrepreneurs, and the incubators and accelerators focused on servicing diverse founding teams, in connection with fundraising, governance and investment activities.

  • June 10 2019

    Ari Edelman, a member of the Firm’s corporate department, practices primarily in the areas of securities and capital markets and M&A. Mr. Edelman has represented public and private companies in equity and debt securities offerings and M&A transactions. These transactions have included IPO’s, SPAC’s, PIPE’s, venture capital financings, shelf offerings and going private transactions, among others. He has represented clients in the U.S., Asia, Europe and Israel.

    Mr. Edelman also focuses on equity crowdfunding matters and has represented crowdfunding portals in corporate matters.

    Mr. Edelman was selected as a 2014 Rising Star in the Business/Corporate Practice Area by SuperLawyers.com. SuperLawyers are nominated by their own peers and then researched by an attorney–led research team. Only 2.5% of attorneys are selected as Rising Stars.  Click here to see the full list.

    Prior to joining the firm, he was associated with the firm of Kramer Levin Naftalis & Frankel LLP.

    Mr. Edelman received his B.A. degree, summa cum laude, from Yeshiva University in 2000. He received his J.D. degree from Fordham University School of Law in 2005, where he was a member of the Fordham Urban Law Journal. He is admitted to practice law in New York and New Jersey.

  • June 10 2019

    Douglas S. Ellenoff, a member of the Firm since its founding in 1992, is a corporate and securities attorney with a focus in business transactions, mergers and acquisitions and corporate financings. Mr. Ellenoff has represented public companies in connection with their initial public offerings, secondary public offerings, regulatory compliance, as well as, strategic initiatives and general corporate governance matters. During his career, he has represented numerous broker-dealers, venture capital investor groups and many corporations involved in the capital formation process.

    In the last several years, he has been involved at various stages in numerous registered public offerings, including more than 100 financings and, with other members of his firm, hundreds of private placements into public companies (see PIPEs and Venture Capital), representing either the issuers of those securities or the registered broker-dealers acting as placement agent. Along with other members of his Firm, Mr. Ellenoff has been involved at various stages with over 100 registered blind pool offerings (commonly referred to as “SPACs”); In addition to our IPO experience with SPACs, he has been involved with more than 30 SPAC M&A assignments. The Firm represents nearly 60 public companies with respect to their ongoing 34 Act reporting responsibilities and general corporate matters. He also provides counsel with regard to their respective ongoing (SEC, AMEX and NASD) regulatory compliance.

    Mr. Ellenoff and the rest of the corporate department distinguish themselves from many other transactional lawyers on the basis of their ability to be part of the establishment of new securities programs, like PIPEs, SPACs, Registered Directs and Reverse Mergers, where the Firm’s professionals have played leadership roles within each of those industries, assisting in the creation, formation and strategies relating to those financings, as well as working closely with the regulatory agencies; including the SEC and FINRA; and the listing exchanges – AMEX and NASDAQ.  Mr. Ellenoff is routinely requested to be a panelist and presenter at industry conferences.

    We are pleased with our positioning at the intersection of being in the game with other AM Law 200 practice groups, providing responsive client service and packaging it all with a very competitive flat fee rate structure.

    Like the other innovative securities programs, the Firm has taken a leadership role in the emerging crowdfunding industry, which was signed into law by President Obama on April 5, 2012. The Firm actively participates in many discussions with the SEC and FINRA with respect to the proposed rules which went into effect May 16, 2016.  The Firm has sponsored conferences, webinars and has been invited to speak at numerous events on the topic (see below). The Firm is already actively engaged with clients (funding portals, broker-dealers, technology solution providers, software developers, investors and entrepreneurs).

    Supplementing his practice of law, Mr. Ellenoff has always maintained an active investing profile. Mr. Ellenoff founded Wardenclyffe, an investment management business, in 1995, which is no longer in business. Wardenclyffe was the general partner of: (i) a long/short high yield bond fund (the Wardenclyffe High Yield Fund, L.P.), (ii) a micro-cap hedge fund (Wardenclyffe Micro-Cap Fund, L.P.), which specialized in emerging growth companies and (iii) a fully invested venture capital fund (Wardenclyffe Venture Partners I, L.P.). While attending law school, Mr. Ellenoff worked for Seligman, Harris & Co., Inc., a New York Stock Exchange broker-dealer as an intern analyst of special situations. Mr. Ellenoff’s ancillary business and investing activities provide him with practical experience that enables him to more effectively represent and advise his law clients.

    Mr. Ellenoff is also a co-founder, managing member of and indirect owner of iDisclose, which is an ancillary business of the Firm.

    Mr. Ellenoff is admitted to practice law in the State of New York and before the United States District Court for the Southern District of New York. Mr. Ellenoff received a Juris Doctor degree from Fordham Law School and a Bachelor of Arts degree in Political Science from Vassar College.

    Past speaking engagements:

    Mr. Ellenoff testified in front of the House Financial Service Committee on September 11, 2019 at the Investor Protection, Entrepreneurship, and Capital Markets Hearing: “Examining Private Market Exemptions as a Barrier to IPOs and Retail Investment”.  Click here to view the video.

     Mr. Ellenoff was invited by Practising Law Institute (PLI) to speak at the Alternative Finance Summit 2019: Marketplace Lending, Cryptocurrency and Crowdfunding. Mr. Ellenoff participated in a panel discussion entitled “Special Purpose Acquisition Companies and Closed-End Funds.”

    Mr. Ellenoff was invited by Deal Flow Events to open the SPAC Conference 2019 with the keynote address.  EGS served as the premier sponsor. 

    Mr. Ellenoff was invited by The American Bar Association to moderate a panel on “Initial Coin Offerings – What Practitioners Should Know”.  Initial coin offerings, or ICOs, are a form of cryptocurrency used as an alternative means of financing a business. The worldwide market for ICOs has exploded over the past twelve months, with in excess of billions of dollars having been invested in ICOs.

    Douglas S. Ellenoff, Stuart Neuhauser and Matthew Gray; members of the Firm, were invited by Strafford to participate on a Webinar titled:Special Purpose Acquisition Companies: Structuring IPOS and Facilitating Future Mergers and Acquisitions.  The panel discussed the disclosure and operational requirements particular to SPACs, the timing and valuation parameters relating to SPAC target acquisitions and issues that may arise in a SPAC’s initial business combination. The panel also discussed the typical pricing of SPAC securities and trust accounts.  

    Mr. Ellenoff was invited by Practising Law Institute to particpate in their Marketplace Lending and Crowdfunding 2017 Conference in NY.  Mr. Ellenoff was on the panel titled: Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance.

    Mr. Ellenoff was invited by the Utah Chapter of the Federal Bar Association to attend the “Crowdfunding under the JOBS Act; Avenues for Raising Capital and the Rules that Apply” and to be on the panel  “Considerations for Issuers – Key Issues in the Crowdfunding Rules.”

    Mr. Ellenoff was invited by the Global Crowdfunding Convention to participate as a keynote speaker at their 5th annual event in Las Vegas held on October 16th. 

    Mr. Ellenoff was invited by DealFlow Events to speak at The Crowdfunding Conference 2016 on October 6th.    He spoke on the panel entitled “Overview of Key Changes in Private Capital Formation”.

    On May 16, 2016 Title III of the JOBS Act officially went into effect.  Mr. Ellenoff was invited by Crowdfund Intermediary Regulatory Advocates (CFIRA) among those policymakers, regulators, crowdfunding industry participants and other key leaders who have made the democratization of capital a reality to help celebrate that momentous dayMr. Ellenoff was awarded the New Capital Markets Leadership Award for his four year effort.

    Mr. Ellenoff was invited by 36/86 to participate in their annual event in Nashville, TN.  Mr. Ellenoff was part of the panel titled: Equity Crowdfunding.  

    Mr. Ellenoff was invited by FINRA (Financial Industry Regulatory Authority) to speak at their 2016 Annual Conference.  He spoke on the panel titled “JOBS Act Update: Crowdfunding and Other Private Offerings.”

    Mr. Ellenoff was a keynote speaker at FundIt’s Crowdfunding Compliance Marketing and Technology Conference in Las Vegas April 2016.  Mr. Ellenoff also spoke on a panel titled “Regulatory Environment for People Using JOBS Act Exemptions.”

    Mr. Ellenoff was invited by The Utah Small Business Development Center Network (SBDC) to participate in their Crowdfunding Conference in Utah April 2016.  Mr. Ellenoff spoke on the panel titled “Equity/Investment-based Panel – Title III Crowdfunding: Crowdfunding for Non-accredited Investors (i.e., all Americans)”

    Mr. Ellenoff was invited by The Silicon Valley Crowdfunding Conference to deliver the keynote speech at their 2016 Annual Crowdfund Expo & Conference in March.

    Mr. Ellenoff received CfPA’s 2015 Inaugural Crowd-Defender Award at their Third Annual Crowdfunding Summit in Washington D.C.

    Mr. Ellenoff was invitd by the Zahn Innovation Center to participate on their panel titled: Alternative Ways To Raise Capital The panel discussed how enterprises can finance their companies using alternative funding mechanism such as rewards, donation, and crowdfunding

    Mr. Ellenoff was invited by the Milken Institute to participate in a roundtable on “The JOBS Act: Where Are We, What Should We Focus on Next?”

    Mr. Ellenoff was invited by The Organization of American States to participate in their First Global Regulatory Forum in Washington D.C.  Mr. Ellenoff’s panel was titled: What could go Wrong? How to Prevent Over/Under Regulation.

    House Democratic Whip Steny H. Hoyer (MD) held the second hearing in a series of hearings called “Make It In America: What’s Next?” After five years and 16 bills signed into law, and facing a different economic landscape today, the hearing series explored how the economy has, and hasn’t, changed, and what families and businesses need in 2015 to Make It In America.  Douglas Ellenoff, a member of the Firm, was invited to testify as an expert in the economic sector.  Click here to view the hearing.

    Mr. Ellenoff gave the keynote speech at the CrowdFunding USA 2015 National Press Club in Washington DC 

    Mr. Ellenoff was interviewed on the Commercial Real Estate Show.  He discussed Real Estate Crowdfunding in 2015.

    Mr. Ellenoff attended the 3rd Global Crowdfunding Convention in Las Vegas where he received the Crowdfunding Visionary Award.

    Mr. Ellenoff was interviewed on the Commercial Real Estate Show.  He discussed Crowdfunding for Investors and Sponsors.

    Mr. Ellenoff was invited by ULI (Urban Land Institute) to moderate a panel at their ULI 2014 Fall Meeting. The panel was titled “Is Crowdfunding Becoming Crowded?”

    Mr. Ellenoff was invited by Disrupt CRE (a first-of-its-kind commercial real estate/technology event designed to connect disruptive ideas with capital and commercial real estate professionals) to participate in the panel titled “Crowdfunding: A Tectonic Shift in Real Estate Investing.”  

    Mr. Ellenoff met with the Securities and Exchange Commission of Thailand and the Stock Exchange to discuss Crowdfunding, the JOBS Act and how to implement a Thai approach.

    Mr. Ellenoff attended Crowdfunding Asia and participated on several panel discussions.

    Mr. Ellenoff met with Monetary Authority of Singapore and Spring  to discuss Crowdfunding, the JOBS Act and how to implement a Singaporean approach.

    Mr. Ellenoff met with Ontario Securities Commission to discuss Crowdfunding, the JOBS Act and how to implement a Canadian approach.

    Mr. Ellenoff was invited by the SEC to speak at a Business Forum on Small Business Capital Formation. Click here to view his presentation (fast forward to 2:28 and 30 seconds)

    Mr. Ellenoff was invited by FINRA to speak at their 2013 annual conference in Washington D.C. Mr. Ellenoff spoke on the JOBS Act and the regulatory and compliance developments related to the JOBS Act.

    Mr. Ellenoff was invited by the Office of U.S. Senator Michael Bennet to participate in a Crowdfunding Forum at Colorado State University. Mr. Ellenoff gave the Crowdfunding Rules Overview.

    Mr. Ellenoff was invited by Business Law Section and the International Section of the New York State Bar Association (NYSBA) to speak at a Webcast titled: The SEC’S Crowdfunding Proposal– A Preliminary Look.

    Mr. Ellenoff was invited to speak a the 2014 SXSW festival in Austin, Texas. His panel was titled: The New Era of Investor Relations.

    Mr. Ellenoff was invited to speak at the NSF 2014 SBIR/STTR Phase II Grantees Conference in Baltimore.  His panel was titled Crowd-funding for Early Stage Technology Companies: Mini-lectures and Panel Discussion.

    Mr. Ellenoff was invited by Trueventus in Malaysia to speak on Crowdfunding and SPACs.  His panels were titled: Crowdfunding of Securities – the international capital formation movement and The future outlook of Special Purpose Acquisition Company (SPACs) as a new and unique investment opportunity in Asia.

    Mr. Ellenoff met with representatives of MAS (Monetary Authority of Singapore) as well as IDA (Infocomm Development Authority of Singapore) and SPRING (The Standards, Productivity and Innovation Board) to discuss the possibilities of Crowdfunding in Singapore.  While in Singapore, he also discussed the applicability of Crowdfunding with the emerging hydropreneur community.

    Mr. Ellenoff was invited to speak at the Second Annual Silicon Valley Meets Crowdfunders Conference. He delivered the keynote speech. 

    Mr. Ellenoff was invited to speak at the Rotman Capital Markets Institute Panel Discussion on Crowdfunding. The panel discussed debt and equity crowdfunding in the Canadian capital markets; as well as capital formation, regulatory issues, investor protection and social welfare.

    Mr. Ellenoff was invited by Harvard Business School Association of Boston to participate in their HBSAB 2013 New Venture Program (NVP) to discuss the viability of the emerging crowdfunding industry.

    Mr. Ellenoff was invited by The White House to attend a Champions of Change Ceremony at the White House. This Champions event honored entrepreneurs who exemplify the promise of crowdfunding to fuel the growth of startups, small businesses, and innovate projects across the nation.

    Mr. Ellenoff was invited to speak at the State of Equity-Based Crowdfunding press conference at the National Press Club in Washington, D.C. The members of the Crowdfunding Professional Association who spoke at the event went on to meet with lawmakers and the press at Capitol Hill for an informational luncheon. Leaders of the venture and Crowdfunding community pushed for immediate action on fulfilling the promises made in last year’s Jump Start Our Businesses Startups Act (JOBS Act) to make equity- and debt-based Crowdfunding a reality in the U.S.

    Mr. Ellenoff was invited to sponsor and deliver the opening keynote address at this year’s Crowdfund Global Expo in San Diego. Designed to be the premier networking and educational event of 2014, Crowdfund Global Expo delved through the complex layers of this rapidly expanding market and covered every aspect of the funding revolution.

    Mr. Ellenoff was invited by New York Law School to be part of their Forum: Real Estate Finance 2014: Hot Topics in Crowdfunding & EB-5 Investments.

    Mr. Ellenoff was invited to speak at Aspen Investment Forum 2014 in Aspen, Colorado. He spoke on two panels: “Pros and Cons of Equity Crowdfunding for Investors” and “Misconceptions of CrowdFunding- What it is and isn’t.”

    Mr. Ellenoff was a panelist at CrowdFinance 2013: REdefining Wall Street with Crowdfinance. He spoke on the panel titled “Advertising Under a New Regulatory Umbrella.”

    Mr. Ellenoff was invited to be a panelist at the Public Policy Forum on Venture Capital and Innovation (“PPF”) in Quebec City. The panel was titled “Crowd funding: potential impacts on the financing of high growth SMEs – Opportunities, Risks and challenges for policy makers”.

    Mr. Ellenoff was interviewed by Devin Thorpe with Crowdcast for a Crowdfund update. View interview here.

    Douglas S. Ellenoff was invited to sponsor and participate in the 2nd Annual Global Crowdfunding Convention and Bootcamp in Las Vegas, NV. This convention, like no other, offered entrepreneurs and small business owners from across all industries a place to learn the necessary skills and knowledge to launch a successful crowdfunding campaign from the world’s leading experts. Mr. Ellenoff participated in several panels: Equity Crowdfunding; The Role of Social Media and Investor Protection; Changes to Rule 506 of Regulation D; and the fear of fraud.

    Douglas S. Ellenoff was invited by The University of California, Berkeley, to participate in an international academic conference on crowdfunding titled “Crowdfunding; Setting the Research Agenda.” UC researchers are interested in crowdfunding — particularly in the wake of the federal Jumpstart Our Business Start-ups Act, which relaxed some rules on how companies can ask for equity investments. Richard Swart, who leads crowdfunding research at Cal’s Fung Institute for Engineering Leadership, which is hosting the symposium, said part of the focus on the conference will be on “mechanisms to protect new investors.”

    Mr. Ellenoff was invited to speak at the Government-Business Forum on Small Business Capital Formation at the SEC. Mr. Ellenoff participated in the panel titled: Crystal Ball: Now That You Raised the Money, What’s Next for the Company and the Markets?

    Participated in “Crowdfund Texas: Impact of the JOBS Act on Texas Investors and Start-ups” in Austin, Texas. It was a premiere industry conference that brought together Texas investors, start-ups, incubators, accelerators, and academic leaders in entrepreneurship for an intensive day of interactive educational sessions from leading thought leaders. Mr. Ellenoff was invited to speak on several panels as well as one exclusively for the media.

    Participated in “The Crowdfund Act – Framing the new regulatory landscape Symposium” sponsored in Washington by the Crowdfund Intermediary Regulatory Advocates (CFIRA). Mr. Ellenoff spoke on two different panels: The Mechanics of a Crowdfund Offering and Reaching the Crowd.

    Attended the first national conference endorsed by the Crowdfunding Professional Association (CfPA), held at the University of Utah Guest House and Conference Center. Mr. Ellenoff was the keynote speaker at the conference.

    Was interviewed by Brett Johnson with One Med Place on CrowdFunding.

    Participated in an invitation only JOBS Act Roundtable at New York University.

    Mr. Ellenoff spoke at New York’s first Crowdfunding 101 Workshop. He spoke about the firm’s role in the process that generated the JOBS Act, our current activity in assisting with the SEC’s rule-making process and the current & future legal issues that will affect crowdfunding platforms planning to present equity-based crowdfunding solutions for small businesses.

    Ellenoff Grossman & Schole LLP was the premier sponsor at Deal Flow Media’s CrowdFunding Conference, in New York City. Mr. Ellenoff opened the conference with his keynote address focusing on the outlook of the CrowdFunding Market.

    Attended meetings between several department heads of the SEC and the crowdfunding industry, including the The National Crowdfunding Association (NLCFA).

    Participated in Washington DC’s first national crowdfunding conference. CrowdCheck hosted experts from the US Small Business Administration, Capitol Hill, think tanks, startups and the securities industry at the conference, entitled “The Wisdom of the Crowd.” Mr. Ellenoff spoke on fraud prevention for crowdfunding.

    Mr. Ellenoff was invited by the Inter American Development Bank and Multilateral Investment Fund to participate in their workshop “Crowdfunding: Financing Ideas, Entrepreneurs and Institutions The Market in Latin America and the Caribbean.” Mr. Ellenoff was part of two different panels: Discussion of Regulatory Aspects and Business Models Emerging due to the JOBS Act and Crowdfunding with Financial Returns.

  • June 10 2019

    Joshua N. Englard, a member of the Firm’s corporate department, practices primarily in the area of securities and capital markets.  He has represented public and private companies in equity and debt securities offerings, including initial public offerings, secondary offerings, Rule 144A offerings and private placements. Mr. Englard also advises clients on general corporate and securities matters, including Sarbanes-Oxley and corporate governance compliance.

    Prior to joining the firm, Mr. Englard was associated with the firm of Paul, Hastings, Janofsky & Walker LLP.  He also worked at the U.S. Securities and Exchange Commission, where he was an attorney in the Division of Corporation Finance and reviewed numerous initial public offerings, mergers, going private transactions, spin-offs and similar transactions by companies in the telecommunications and related industries.  He also worked in the Division’s Office of Small Business Policy, where he advised issuers on compliance with SEC rules and regulations pertaining to smaller and private companies and participated in various rulemaking and policy initiatives relating to such companies.

    Mr. Englard received his B.S. degree, magna cum laude, from YeshivaUniversity in 1996. He received his J.D. degree from University of Pennsylvania Law School in 2000, where he was an editor of the Journal of International Economic Law. Mr. Englard is admitted to practice law in New York and is a member of the American Bar Association and the New York State Bar Association.

  • June 10 2019

    David E. Fleming, of counsel to the Firm, is a corporate and securities attorney with a specialty in corporate financings and complex business transactions. For more than 30 years, Mr. Fleming has represented issuers, underwriters and placement agents in initial public offerings, secondary public offerings, PIPES, registered direct offerings, REITs and other private placements of equity and debt securities. He has extensive experience representing sponsors of private equity funds, venture capital funds, hedge funds and other private investment funds.

    He regularly negotiates and documents joint venture, partnership, complex merger and acquisition, asset purchase and divestiture agreements and ISDA documentation. He is a trusted advisor to boards of directors and senior management on disclosure, corporate governance and investor relations, including executive compensation matters.

    For over 12 years, Mr. Fleming was the Senior Vice President, General Counsel and Corporate Secretary of a NASDAQ Global Stock Markets listed energy company, where he directly participated in raising over $240 million of private equity, growing the company from a start-up to over $140 million of revenue, leading to a successful $100 million initial public offering, and subsequently reaching a market capitalization of over $1 billion.

    For more than 15 years, Mr. Fleming was a partner in several national law firms, including being a Member of the Firm of Epstein Becker & Green, P.C. and a Partner in the law firm of Cummings and Lockwood, where his industry focus was technology, e-commerce, healthcare, real estate and oil and gas. He frequently represents clients in cross-border transactions in Canada, Europe and Australia.

    He is admitted to the practice of law in the States of New York, Connecticut and Maryland and the U.S. District Courts for the Southern District and Eastern District of New York.

    Mr. Fleming graduated from Cornell University with a Bachelor of Arts degree in Government; Harvard University with a Graduate Studies Certificate in Administration and Management, where he was selected as a Langlois Scholar and Class Marshall; and the University of Maryland School of Law with a Juris Doctor degree, cum laude.

    He is also a FINRA registered General Securities Principal (Series 24), Investment Banking Representative (Series 79) and Private Offering Representative (Series 82).

  • June 10 2019

    Saul H. Finkelstein, a member of the Firm, represents multi-national financial institutions and other secured lenders, as well as companies in a broad range of industries, in financing and merger and acquisition transactions. In his more than 25 years of practice, he has represented lenders and borrowers in complex debt financings and buyers and sellers of both public and private businesses. He has been the featured speaker at training sessions sponsored by the American Bankers Association and has published in a variety of legal and other periodicals.

    Of particular note, Mr. Finkelstein has also worked extensively with private banking institutions, professional sports franchises, players and coaches, principal shareholders of public companies, significant collectors of fine art and media personalities in innovative financing matters.

    He has served on the Boards of several start-up companies in the fitness industry and was a member of the Executive Committee of a not-for-profit summer camp in upstate New York.

    Mr. Finkelstein received a Bachelor of Arts in economics from Yeshiva University and his Juris Doctor, magna cum laude, from the Benjamin N. Cardozo School of Law where he was an editor of the Law Review. Prior to joining the Firm, he was associated with Weinstein Smith LLP and practiced for 20 years at Paul, Weiss, Rifkind, Wharton & Garrison LLP.

  • September 20 2019

    Thomas M. Fugnitti, an associate of the Firm, focuses his practice on transactional matters with an emphasis on structuring, documenting and servicing registered direct and PIPE financings. He represents investment banks and institutional investors that invest in private and public companies.

    Mr. Fugnitti received his J.D. from New York Law School, magna cum laude, and was an affiliate with the Center of Business and Financial Law. He received his B.A. in Political Science with a Pre-Law Concentration from Stockton University.

    Mr. Fugnitti is admitted to practice law in New York.

  • June 10 2019

    Hans Ge, an associate in the Firm’s corporate and securities department, represents domestic and international clients in all aspects of corporate and securities law, with a particular focus on securities regulation and corporate governance. He advises clients in connection with public offerings and private placements (PIPE), mergers and acquisitions, federal and state securities law compliance, stock exchange listings and general corporate matters. He has extensive experience representing public and private companies at various stages of their life cycle.

    Mr. Ge received his LL.B. from East China Normal University and his LL.M. from Tulane University Law School. He was also a global law fellow at St. Johns University School of Law. He is a member of the New York City Bar Association and has served on the City Bar Asian Affairs Committee. Before joining the Firm, he was associated with a boutique securities law firm in New York and also served as legal counsel to a public company in the real estate sector. He is admitted in New York and is a native Mandarin speaker.

  • June 10 2019

    Matthew Gray, a member of the Firm, represents clients in all aspects of corporate, securities and commercial law, with a focus on representing buyers and sellers in domestic and international mergers, acquisitions, divestitures, restructurings, auction sales, distressed sales, related party acquisitions, leveraged buyouts, joint ventures and minority investments involving publicly and privately held companies and private equity and venture capital funds and their portfolio companies.  He also advises clients and their boards on corporate, governance, fiduciary, contract, SEC reporting, securities and other relevant business laws.

    Mr. Gray has worked with a diverse group of clients, both domestic and international, ranging from Fortune 500 public companies and large investment funds to private start-up companies and small venture capital funds, as well as non-profit organizations.  He has represented clients in a variety of industries, including technology, finance, insurance, real estate, defense, government contracting, energy, manufacturing, automobile, transportation, healthcare, education, fashion, restaurant and hospitality, retail and consumer products and services.  Mr. Gray has worked on numerous international transactions, including transactions in China, Australia, England, Ireland, Luxembourg, Mexico and Canada.

    Mr. Gray also has significant experience with private placements, debt financing transactions, commercial contracts, employment agreements, equity incentive plans, reinsurance transactions, SEC and other governmental reviews and investigations, and the formation and attainment of 501(c)(3) status for non-profit organizations.

    Prior to joining the Firm, Mr. Gray was associated with the firms of Holland & Knight LLP in Tysons Corner, Virginia and Jones Day, Bingham McCutchen LLP and Weil, Gotshal & Manges LLP in New York, New York.

    Mr. Gray is licensed as an attorney in the State of New York and the Commonwealth of Virginia.  He received his JD in 2001 from New York University School of Law and his Masters in Business Administration (MBA) degree with concentrations in accounting and finance, as well as his Bachelor of Science (BS) degree in business administration, from the State University of New York at Buffalo.  Before attending law school, Mr. Gray worked as an accountant at IBM in Somers, New York, supporting their domestic real estate operations.  He is a licensed Certified Public Accountant in the State of Florida.

  • June 10 2019

    Barry I. Grossman, a member of the Firm since its founding in 1992, is a corporate/tax attorney who specializes in business transactions as well as tax matters. Mr. Grossman’s practice focuses on representing emerging growth companies and investment banks in initial public offerings, follow-on public offerings, shelf takedowns, registered direct placements, PIPEs and other private placements (144A, Reg D, Reg A, Reg S, etc.) as well as general securities (including 34 Act filings) and corporate matters. Mr. Grossman’s transactional experience includes public and private financings, structuring sales and acquisitions of companies, mergers and reorganizations, and organizing partnerships. Mr. Grossman also regularly represents public companies regarding their SEC regulatory matters and NYSE or NASDAQ requirements. As a member of Ellenoff Grossman & Schole LLP, he has been involved in over 300 public financings representing issuers and underwriters.   Along with other members of his Firm, Mr. Grossman has been involved at various stages with over 100 registered blind pool offerings (commonly referred to as “SPACs”) which have raised more than $2.0 billion, reverse mergers (for domestic and foreign, mainly Chinese, companies) and over one hundred private placements, many into public companies (commonly referred to as “PIPEs”). In connection with public offerings Mr. Grossman has represented issuers and underwriters in initial public offerings, follow on offerings, registered direct offerings, confidentially marketed public offering, at the market offerings and other debt and equity financings. Along with other members of the firm Mr. Grossman has been counsel to numerous companies involved in M&A transactions including more than 30 SPAC M&A assignments.

    Mr. Grossman’s clients include bio-tech companies, medical device companies, software developers, FINRA registered broker/dealers and other companies involved in the financial sector, companies involved in homeland defense, SPACs, mining companies, real estate developers, manufacturing companies, and a number of small businesses. The Firm represents nearly 70 public companies with respect to their ongoing 34 Act reporting responsibilities and general corporate matters and more than 25 investment banks.

    Mr. Grossman has represented a broad range of foreign companies including Israeli, Indian and Korean entities with an emphasis on Chinese companies who have listed in the United States. Mr. Grossman has counseled public companies in going dark and/or going private transactions as well as companies preparing for and responding to investigations and litigation resulting from short-selling attacks.

    Mr. Grossman has previously been associated with the RTZ Group (which includes Kennecott Copper Corporation and U.S. Borax and Chemical Corporation), an international conglomerate with approximately $8 billion in U.S. assets. He was also previously associated with the New York City law firms of Battle Fowler and Finley, Kumble, Wagner, Heine, Underberg, Manley Myerson & Casey. Mr. Grossman was formerly a member of the advisory board of Wardenclyffe (a venture capital and investment firm). Mr. Grossman received a Juris Doctor degree from Georgetown University Law Center, a Bachelor of Arts degree in Political Science, magna cum laude, from the State University of New York at Albany and an LL.M. degree in taxation from New York University Law School. He is admitted to practice law in the State of New York and before the United States Tax Court and is a member of the New York State Bar Association. Mr. Grossman serves on the Board of Directors of Camp Louemma, a not-for-profit camp, and is a founding member of the University at Albany Lawyer’s Association.

  • June 10 2019

    Justin Grossman, an associate of the Firm, practices in all aspects of corporate and securities law, with a particular focus on securities regulation, public and private offerings, mergers and acquisitions and general corporate matters. Prior to joining the Firm, Mr. Grossman worked as an associate at a boutique law firm specializing in corporate and securities law.

    Mr. Grossman received his Juris Doctor from Brooklyn Law School in 2015 and a Bachelor’s Degree in Financial Economics from Binghamton University in 2012. He is admitted to practice law in the State of New York.

  • June 10 2019

    John J. Hart, a member of the Firm, primarily advises broker-dealer and institutional investor clients on registered and unregistered securities offerings.  Mr. Hart has also extensively worked on corporate governance, public and private company representation, and merger and acquisition transactions. He has previously been associated with Weinstein Smith LLP and Moses & Singer LLP.

    Mr. Hart received his J.D. from Brooklyn Law School in 2004 and his B.A. in European Studies from Reed College in 1996. He is admitted to practice law in New York and is a member of the New York City Bar.

  • June 10 2019

    Sabrina H. He, an associate of the Firm, practices in all aspects of corporate and securities law, with a particular focus on public offering, private placement, securities regulation and general corporate matters.  She also has experience in going-private transaction, strategic acquisition, joint venture, and corporate governance.

    Ms. He received a Juris Doctor degree from John Marshall Law School – Chicago where she graduated cum laude and was a member of the John Marshall Review of Intellectual Property Law.  She also received a LL.B and B.S. in Psychology from Peking University and a LL.M degree from University of San Francisco.

    Ms. He is admitted to practice in the State of New York and District of Columbia. She is a member of the New York City Bar and has served on the City Bar International Law Committee.  Prior to joining the firm, Ms. He was associated with McLaughlin & Stern LLP and also served as corporate counsel to a public company in the technology sector. She is fluent in Mandarin.

  • June 10 2019

    Martin J. Jones, of counsel to the Firm, concentrates his practice on the full range of business tax law.  His practice focuses on transactional matters. Mr. Jones regularly advises on federal and state tax issues related to mergers and acquisitions, real estate and partnership transactions, and domestic and cross-border debt and equity investments. He has extensive experience advising clients on the tax consequences of the formation and operation of corporations, limited liability companies, partnerships and S corporations. Mr. Jones has represented active businesses, joint ventures and private investment funds in a broad range of tax matters. He has also successfully represented clients in federal and state tax controversies, including audits, appeals and settlements.

    Mr. Jones received his LL.M. in Taxation from New York University School of Law, his Juris Doctorate degree from Southern Methodist University School of Law and his Bachelor of Arts from Baylor University. He is admitted to practice in the states of New York and Texas and is a member of the American Bar Association’s Section of Taxation. Mr. Jones has previously practiced with the firms of Pryor Cashman LLP, DLA Piper LLP and Kaye Scholer LLP.

  • June 10 2019

    Shang Jiang, an Associate of the Firm, practices in all aspects of corporate and securities law, with a particular focus on securities regulation, public and private offerings, mergers and acquisitions and general corporate matters.  She has extensive experience advising clients on cross-border transactions.

    Prior to joining the Firm, Ms. Jiang was associated with the New York office of a top-tier Chinese law firm.  Ms. Jiang received her Juris Doctor and LL.M. degrees from Indiana University Robert H. McKinney School of Law.  She also received an MBA degree from Indiana University Kelley School of Business and a Bachelor of Arts in Russian Language and a Bachelor of Law from Xiamen University.

    She was selected as a Rising Star in the Business & Corporate Practice Area in 2018 and 2019 by Super Lawyers publication.

    Ms. Jiang is admitted to practice in the State of New York.  She is a native Mandarin speaker.

  • June 10 2019

    Asher S. Levitsky, of counsel to the Firm, is a corporate attorney who’s practice relates primarily to business and corporate law, where he provides legal services and works closely with senior management for a wide range of business transactions including public offerings and private placements, representing underwriters or placement agents, issuers and investors, bridge or interim financings, early stage private financings, including venture capital financings, acquisitions and dispositions of assets including mergers and sales or purchases of assets and going private transactions. Mr. Levitsky has also provided legal services involving licensing agreements relating to intellectual property rights and distribution agreements, and has represented clients in proxy contests for contested director elections. Mr. Levitsky’s clients include companies and investment bankers in the natural resources sector and his services involve agreements such as mineral royalty and purchase agreements as well as financing documents that relate to natural resources companies.  Many of his current transactions involve alternate methods of going public including reverse mergers with public shell companied combined with a financing and registration statement.

    Prior to joining the Firm, Mr. Levitsky was of counsel at Sichenzia Ross Friedman Ference LLP from June 2006 until February 2011, and for more than 15 years prior to that Mr. Levitsky was of counsel at Katsky Korins.

    He graduated from Cornell University, B.A. 1965 and received his J.D. cum laude, order of the coif, from New York University School of Law in 1968.

    Mr. Levitsky is a member of the American Bar Association. Mr. Levitsky is admitted in New York, 1968 and to the U.S. Court of Appeals, Second Circuit, U.S. Court of Appeals, District of Columbia Circuit, U. S. District Court, Southern District of N.Y., U.S. District Court, Eastern District of N.Y. and the U.S. Court of International Trade.

  • June 10 2019

    Cynthia Li, an associate of the Firm, practices in all aspects of corporate and securities law, with a particular focus on public and private offerings, mergers and acquisitions and general corporate matters.  She has extensive experience in international business transactions.

    Prior to joining the Firm, Ms. Li practiced in a boutique firm in New York and a leading Chinese firm in China, where she advised on a variety of transactions, including venture capital practice, real estate transactions, cross-border and domestic M&A deals, as well as PE investments.  Ms. Li received her Juris Doctor degree from Georgetown University Law Center, and her L.L.B and B.A. degrees from Wuhan University.

    Ms. Li is admitted to practice in in New York and New Jersey, and is qualified to practice in P.R.C.  She is a native Mandarin speaker.

  • October 18 2019

    Jiayin Liao, an associate of the Firm, represents domestic and international companies in securities, mergers and acquisitions, finance, and general corporate matters, with a focus on helping private companies in China navigate the complexities of the U.S. capital markets in their initial public offerings (IPOs) and ongoing public reporting requirements. He also advises clients in connection with their general business matters, financings, and substantial acquisitions. Mr. Liao has represented businesses in numerous industries, including energy, manufacturing, financial services, real estate and health care. As a native speaker of Mandarin and Cantonese, Mr. Liao is a skilled communicator and offers practical advice for China-based companies.

    Mr. Liao received a J.D. from the University of Minnesota Law School and a LL.B. from Northwest A&F University. He is admitted to practice in New York and Florida.

  • August 06 2019

    Rui Ma is an associate in the Firm’s Corporate and Securities Department. He is active in supporting the Firm’s practices in a wide range of corporate and securities law, with a focus on securities regulation, public and private offerings, mergers and acquisitions and general corporate matters. He has extensive knowledge advising clients on cross-border transactions.

    Prior to joining the Firm, Mr. Ma represented local business owners and employees in labor and employment litigations before the federal courts, particularly wage and hour cases.  Mr. Ma received his LL.M. from Georgetown University Law Center, and his LL.B. from China University of Political Science and Law, one of the best law schools in China.

    Mr. Ma is admitted to practice in the State of New York, United States District Courts for the Southern, Eastern and Northern District of New York. He is a native Mandarin speaker.

  • June 10 2019

    Joseph E. Masiello, an associate of the Firm, focuses his practice on transactional matters with an emphasis on structuring, documenting and servicing registered direct and PIPE financings. He represents investment banks and institutional investors that invest in private and public companies.

    Mr. Masiello received his J.D. from Fordham University School of Law, cum laude, in 2015. He received his B.B.A. in Finance, magna cum laude, from Temple University in 2011.

    Mr. Masiello is admitted to practice law in New York.

  • June 10 2019

    Matthew B. McCullough, an associate of the Firm, focuses his practice on transactional matters with an emphasis on structuring, documenting and servicing registered direct and PIPE financings. He represents investment banks and institutional investors that invest in private and public companies.

    Mr. McCullough received his J.D. from Brooklyn Law School, cum laude, in 2013. He received his BS in Finance, cum laude, from Ramapo College of New Jersey in 2010. Prior to joining the Firm, Matthew worked as an associate for Riveles Wahab LLP.

    Mr. McCullough is admitted to practice law in New York.

  • June 10 2019

    Michael Midura, Of-Counsel to the Firm, represents entities in all aspects of corporate and commercial law, with a particular focus on public and private equity finance, mergers, acquisitions and securities work.

    Mr. Midura’s experience includes representation of issuers of securities as well as investors in connection with both public and private offerings of equity and debt securities. In the mergers and acquisitions area., Mr. Midura has represented both buyers and sellers of business in a variety of industry sectors ranging from hospitality and real estate to biotechnology.

    Prior to joining the firm, Mr. Midura was associated with the firms of Proskauer Rose LLP and Olshan Grundman Frome Rosenzweig & Wolosky LLP in New York.

    Mr. Midura received his Juris Doctor degree in 1997 from the Benjamin N. Cardozo School of Law, where he graduated cum laude. He was also a member of the Cardozo Law Review. Mr. Midura graduated from the Georgetown University’s School of Foreign Service in 1992 with a degree in European Area Studies. He is admitted to practice law in the State of New York. 

  • June 10 2019

    Michael Nertney, member of the Firm, focuses his practice on corporate and securities transactional matters with an emphasis on registered direct, underwritten secondary offerings, PIPE financings, mergers and acquisitions and general corporate and securities law counseling for private and public companies. Prior to joining the Firm, he was partner at Weinstein Smith LLP.

    Mr. Nertney received his J.D. from Albany Law School of Union University, cum laude, in 1999, where he served as an Article Editor of the Albany Law Journal of Science and Technology. He received his B.S. in Finance from Siena College in 1995. Mr. Nertney is admitted to practice law in New York.

  • June 10 2019

    Stuart Neuhauser, a member of the Firm, is a corporate and securities attorney with a focus on business transactions and corporate financings. Mr. Neuhauser has represented public companies (both domestic and foreign) in connection with their public offerings, PIPE financings, 34 Act reporting requirements, regulatory compliance (including ongoing compliance with the SEC, NYSE, NASDAQ, FINRA and state securities laws) as well as general corporate governance matters. Mr. Neuhauser has also represented investment banking firms in connection with private placements, public offerings and general advisory engagements, and has counseled both public and private companies, investment banking firms and investors regarding joint ventures, corporate restructurings, corporate finance, mergers and acquisitions (including “reverse mergers” and SPAC M&A transactions) and other aspects of corporate and securities matters. Mr. Neuhauser has extensive experience in the public offerings of SPACs (on behalf of issuers and underwriters) and has played an important role in drafting and formulating the structural changes of the new generation of SPACs.  Led by Mr. Neuhauser (and other members of the Firm), EG&S has been one of the most active firms in the world in both SPAC IPOs and SPAC M&A transactions.  In addition, EG&S has acted as special SPAC counsel in connection with numerous Canadian SPACs.  Mr. Neuhauser received a Juris Doctor degree from Benjamin N. Cardozo School of Law, where he was a member of the Cardozo Law Review. He received a Bachelor of Science degree from Adelphi University. He is admitted to practice law in the State of New York.

    Recent speaking engagements:

    Stuart Neuhauser, Douglas Ellenoff and Matthew Gray; members of the Firm, were invited by Strafford to participate in a Webinar titled: Special Purpose Acquisition Companies: Structuring IPOS and Facilitating Future Mergers and Acquisitions.  The panel discussed the disclosure and operational requirements particular to SPACs, the timing and valuation parameters relating to SPAC target acquisitions and issues that may arise in a SPAC’s initial business combination. The panel also discussed the typical pricing of SPAC securities and trust accounts. 

  • August 12 2019

    Trevor Okomba, an associate of the Firm, practices in all areas of corporate and securities law, with a particular focus on mergers and acquisitions and general corporate matters. Mr. Okomba has represented clients in a variety of industries, including the financial services, chemicals, and technology sectors.

    Prior to joining the Firm, Mr. Okomba was an attorney at Shearman & Sterling LLP in New York, New York.

    Mr. Okomba received his Juris Doctorate from University of Pennsylvania Law School and his Bachelor of Arts in Politics from Princeton University. Mr. Okomba is admitted to practice law in the State of New York.

  • June 10 2019

    Geoffrey W. Parnass, a member of the Firm, specializes in complex corporate transactions including private equity and venture capital matters. He also provides general counsel to public and private companies. Mr. Parnass is experienced in a wide variety of corporate transactions including mergers and acquisitions; private equity and leveraged buyout transactions; venture capital investments; joint ventures and technology licensing arrangements; bank financings, including asset based lending; trademark selection, registration and enforcement; and recapitalization and work-out transactions. Mr. Parnass represents exchange-listed public companies in securities law matters including preparing and reviewing annual and periodic reports and annual meeting and proxy statements; advising on compliance with Sarbanes-Oxley and the obligations of independent directors; NASDAQ and NYSE listing and maintenance requirements; assisting with public disclosure and compliance with insider trading requirements; stock sale and Rule 144 transactions; and corporate governance matters. He also provides counsel in connection with the issuance of securities under Regulation D and registered public offerings under the Securities Act of 1933.

    Mr. Parnass also provides general counsel services to business organizations. He counsels on contract, regulatory, intellectual property, litigation management and all other major areas affecting the legal profile of an enterprise, including securities law, commercial contracts, distribution agreements, antitrust and trade regulation, intellectual property licensing and management, joint ventures, employment agreements and compensation structures and technology transfers. He has structured and documented a wide variety of marketing and new venture undertakings for manufacturing and service companies.

    Mr. Parnass served for eight years as Vice President and General Counsel of Hunter Douglas Inc., a billion-dollar manufacturer of home furnishing products. Before that, he was associated with the corporate law departments of Fried Frank Harris Shriver & Jacobson LLP and Dewey Ballantine LLP in New York.

  • June 10 2019

    David Pentlow, a member of the Firm, is a corporate and securities attorney with a practice emphasis on private investment funds and real estate investment trusts (REITs).

    Mr. Pentlow represents investment advisers, investment managers, general partners, private equity funds, real estate funds, hedge funds, venture capital investors and other pooled investment vehicles in all of their activities, including in connection with: (i) fund formation, including both onshore and offshore structures, to accommodate a wide range of investors, liquidity and tax concerns, and asset classes; (ii) executing investment strategies, including those involving trading in equities, public and private debt securities, derivatives, commercial mortgages, and RMBS and CMBS securities; (iii) structuring and executing investment transactions, including public investments in private equity (PIPEs) and registered direct investments in public companies, acquisitions of minority and majority stakes in public and private operating companies, and originating and trading in commercial mortgages, investments in real estate and real estate joint ventures; (iv) negotiating investment management agreements, managed accounts, customized single investor funds, and other direct investment arrangements with clients; (v) compliance with SEC, CFTC, NFA, and FINRA regulations and other applicable state and federal laws and related regulatory examinations; and (vi) negotiation and structuring of credit and liquidity agreements with prime brokers and other lenders;

    Mr. Pentlow represents REITS in connection with, among other matters: (i) formation of public and private REITs and related tax and corporate governance matters; (ii) public and private securities debt and equity transactions, including IPOs, follow on offerings, private placements, registered direct offerings, rights offerings and alternative financing arrangements; (iii) public and private merger and acquisition transactions; (iv) acquisitions of investment properties, including acquisitions in exchange for REIT operating partnership units; and (v) joint ventures in real estate or holding companies.

    Also in the real estate space, Mr. Pentlow represents developers, investors and owners in joint ventures, acquisitions and dispositions of interests in corporate holding entities, leasing, management agreements, and development agreements.

    He has also represented numerous public and private companies as outside general counsel, including in connection with employment agreements, license agreements, vendor agreements, supplier agreements and leases.

    Mr. Pentlow serves on the board of the Resource Foundation, a not-for-profit corporation focused on charitable activities in Latin America, and has counseled the Resource Foundation and other not-for-profit entities on state not-for-profit corporate law issues, both on a paid and a pro bono basis. 

    Mr. Pentlow received his undergraduate degree from Harvard University and his Juris Doctor degree from Georgetown University.  He is admitted to practice law in the State of New York.

  • June 10 2019

    Charles E. Phillips, a member of the Firm, focuses his practice on transactional matters with an emphasis on structuring, documenting and servicing registered direct and PIPE financings. He represents investment banks and institutional investors that invest in private and public companies.

    Mr. Phillips received his J.D. from New York Law School in 2007. He received an MBA and MSBM from the University of Maryland in 2004 and his Bachelor of Accountancy from the George Washington University in 2000. Prior to attending graduate school, he worked as an auditor for KPMG LLP. Prior to joining the Firm, Charles worked as an associate for Weinstein Smith LLP.

    Mr. Phillips is admitted to practice law in New York.

     

  • September 23 2019

    Marisa A. Rametta, an associate of the Firm, represents companies and investment banks on securities, mergers and acquisitions and general corporate matters.

    Ms. Rametta received her J.D. from Fordham University School of Law in 2019, where she was an editor of the Fordham International Law Journal.  She received her B.S. in Psychology from Fordham University in 2015.

    Ms. Rametta’s admission to practice law in New York is pending.

  • June 10 2019

    Benjamin S. Reichel, a member of the Firm, is a corporate and securities attorney. His practice is focused on securities offerings, mergers and acquisitions, corporate finance and general corporate law. Mr. Reichel’s experience includes representation of issuers, investors, underwriters and placement agents in connection with both public and private offerings of equity and debt securities. In particular, he has experience with initial public offerings, secondary public offerings, SPACs, private placements and PIPE transactions. Mr. Reichel has represented public companies in connection with their ’34 Act reporting requirements, regulatory compliance and general corporate governance matters. He has also counseled both public and private companies regarding mergers and acquisitions (including “reverse mergers”), joint ventures, corporate finance, bank financings, and other aspects of corporate and securities law.

    Prior to joining the Firm, Mr. Reichel was a partner at a number of law firms, including Haynes and Boone, LLP and Olshan Frome Wolosky LLP.  Mr. Reichel received his law degree from New York University School of Law and received a B.A. in economics and finance from Yeshiva University. He is a member of the American Bar Association and admitted to practice in the State of New York.

  • June 10 2019

    Lawrence A. Rosenbloom, a member of the Firm, is a corporate, securities and broker-dealer attorney who represents clients in all aspects of corporate and commercial law, with a particular focus on public and private equity finance, securities law compliance, mergers and acquisitions and broker-dealer regulation. During his career, he has developed significant experience in the life sciences and real estate sectors (including representations of real estate investment trusts).

    Mr. Rosenbloom’s experience includes representation of issuers of securities as well as investors, underwriters and placement agents in connection with both public and private offerings of equity and debt securities. In particular, Mr. Rosenbloom has experience with registered primary and secondary public offerings (including Registered Directs, CMPO Offerings and SPACs) as well as private placement and PIPE transactions and offerings on foreign exchanges, including the AIM market of the London Stock Exchange and Euronext Amsterdam. He also represents many publicly-listed companies in their securities compliance, stock exchange-related and general corporate and commercial matters and has routine interactions with applicable regulatory authorities, including the SEC and FINRA.

    In the mergers and acquisitions area, Mr. Rosenbloom has represented both buyers and sellers of businesses in a variety of industry sectors in both public and private transactions. He also regularly advises companies on a wide array of general commercial matters, including joint ventures.

    Prior to joining the firm in 2002, Mr. Rosenbloom was associated with the firms of Paul, Hastings, Janofsky & Walker LLP and Battle Fowler LLP in New York. Prior to becoming an attorney, Mr. Rosenbloom worked as an investor relations representative for publicly held companies.

    Mr. Rosenbloom received his Juris Doctor degree in 1997 from the Benjamin N. Cardozo School of Law, where he graduated magna cum laude, was elected a member of the Order of the Coif and was a member of, and had his thesis published in, the Cardozo Law Review. Mr. Rosenbloom graduated magna cum laude from the University of Rochester in 1991 with a dual degree in Political Science and American History. He is admitted to practice law in the State of New York.

  • June 10 2019

    Jeffrey Rubin, a member of the Firm, is a corporate, M&A and securities attorney. From 2013 until 2016, Mr. Rubin was Vice President and General Counsel of the Financial Accounting Foundation, the parent of the US accounting standard setting organizations, the Financial Accounting Standards Board (FASB) and the Governmental Accounting Standards Board (GASB). Prior to joining the FAF, he was a partner of Hogan Lovells US LLP and its predecessor firms, where he focused on domestic and international securities transactions, corporate finance transactions, private equity, M&A and venture capital, as well as corporate governance.

    Mr. Rubin is currently chair of the American Bar Association’s Law and Accounting Committee, and served as chair of the ABA’s Federal Regulation of Securities Committee, the nation’s largest and most prominent organization of securities lawyers, from 2009 to 2012.  He also previously served as chair of the New York State Bar Association’s Securities Regulation Committee, and as a member of the National Conference of Lawyers and CPAs, the official liaison group between the ABA and the AICPA.  Mr. Rubin is also chair of the ABA’s Task Force on Sustainability Financial Reporting. He was awarded the ABA’s Business Law Section Chair’s Award in August 2012 for his contributions to the Section.

    Mr. Rubin received his Bachelor of Arts degree from The State University of New York at Binghamton and his Juris Doctor degree from Syracuse University College of Law.

  • June 10 2019

    Lijia Sanchez, a member of the Firm, represents domestic and international clients in all aspects of corporate and securities law, with a particular focus on securities regulation. She advises clients in connection with public offerings and private placements (PIPEs), ongoing SEC reporting requirements, mergers and acquisitions, federal and state securities law compliance and stock exchange listings. She has extensive experience in international business transactions, especially in Asia.

    Ms. Sanchez received her Juris Doctor degree at Cornell University School of Law in 2008 and received a Bachelor of Law degree at Fudan University, Shanghai in 2005. She is admitted to practice in the State of New York. She is a native Mandarin speaker.

  • June 10 2019

    David Selengut, a member of the Firm, and has been a corporate, securities and private funds attorney for more than 38 years. Mr. Selengut has represented public companies in connection with their initial public offerings, secondary public offerings, 34 Act reporting requirements, regulatory compliance as well as general corporate governance matters. Mr. Selengut has also represented several investment banking and securities brokerage firms in connection with private placements and public offerings, and has counseled both public and private companies regarding joint ventures, corporate restructurings, mergers and acquisitions and bank financings. Mr. Selengut has also created and advised several venture capital funds and hedge funds that invest in public and private securities, PIPEs and residential and commercial real estate. Mr. Selengut also advises companies regarding creative ways to become “public” without the necessity for reverse mergers and its associated costs and risks. Mr. Selengut represents several high net worth individual investors and is the sole general partner of two private venture capital groups with combined assets in excess of $30 million dollars.

    Mr. Selengut’s clients have included an international watch manufacturer with annual sales in excess of $100 million; a company whose subsidiaries are distributors of housewares products and medical, janitorial and dietary products; an international microwave and advanced network telecommunications systems developer; and a public multinational company. Mr. Selengut also organized and represents a syndicate that purchases commercial real estate in the City of New York which includes a portfolio of in excess of 2,500 residential apartment units.  Mr. Selengut also organized and represented a leading overseas equity crowdfunding platform that has invested in excess of $1 billion dollars in global startups.

    Mr. Selengut received a Juris Doctor degree, with honors, from Hofstra University School of Law in 1981 and received a Bachelor of Science degree in Accounting and Economics from Touro College. He is admitted to practice law in the State of New York.

  • June 10 2019

    Joseph A. Smith, a member of Ellenoff Grossman & Schole LLP, is widely recognized as a leader in the field of Private Investments in Public Equity (PIPEs) and Registered Direct offerings, where he developed and perfected many of the most commonly used transaction structures including the intra-day and overnight shelf takedown, confidentially marketed public offerings (CMPOs), the self-liquidating convertible debenture and the equity line of credit.  Mr. Smith’s clients are mainly investment banks and institutional investment funds, where he and his team facilitate approximately 75 financing transactions each year, in real time.  He also assists broker-dealers with their regulatory issues. Under Mr. Smith’s leadership, Ellenoff Grossman & Schole has been ranked as the No. 1 legal adviser to placement agents every year since 2003.

    Mr. Smith spent two years as a Managing Director and registered principal with Ladenburg Thalmann & Co., Inc., structuring and placing PIPE transactions with the then leading team in that business. Mr. Smith has undergraduate and MBA degrees from University of California, Berkeley and a law degree from UCLA. Mr. Smith is a regular speaker on legal issues relating to the PIPE and RD markets at the PIPEs Conference and other venues.

  • June 10 2019

    Lloyd N. Steele, an associate of the Firm, practices in all areas of corporate and securities law, with a particular focus on mergers and acquisitions, securities regulation and general corporate matters.  Mr. Steele has represented businesses in numerous industries, including financial services, real estate, media, advertising, fashion and apparel, consumer products and health care.

    Prior to joining the Firm, Mr. Steele was associated with the law firms of Seyfarth Shaw LLP, Pryor Cashman LLP and McElroy, Deutsch, Mulvaney & Carpenter LLP.

    Mr. Steele received a J.D. from the Benjamin N. Cardozo School of Law, an LL.M. in taxation from the New York University School of Law, an M.B.A. in marketing and finance from York University and a B.A in economics and political science from the University of Toronto.  Mr. Steele is admitted to practice in New York and New Jersey.

  • June 10 2019

    Wei Wang, a member of Ellenoff Grossman & Schole LLP, represents domestic and international companies in corporate and securities matters with a focus on Chinese private and public companies. Born and raised in China and bilingual in Mandarin and English, Ms. Wang bridges cultural gaps with practical, business-oriented advice and helps China-based companies reach their corporate objectives.

    Ms. Wang focuses on representing private companies in China in their initial public offerings (IPOs) in the U.S., helping clients navigate the SEC review process and complexities associated with listings on the stock exchanges.  She also advises on the public offerings of special purpose acquisition companies (SPACs) and the merger and acquisition of SPACs. In addition, Ms. Wang represents public companies in connection with their public and private offerings, SEC reporting requirements, regulatory compliance (including ongoing compliance with the SEC, NYSE and NASDAQ) as well as general corporate matters.

    Ms. Wang received her L.L.M. and J.D. degrees from Fordham University and her L.L.B and B.A. degrees from Shandong University. Ms. Wang is admitted in New York.

  • June 10 2019

    Barbara Warren, Of Counsel to the Firm, represents clients in sophisticated regulatory and transactional matters, advising on federal securities laws and related financial services laws and regulations.

    •             Focuses on regulatory matters related to a wide variety of private equity and debt participants, such as venture, special purpose, co-investment, growth, buyout, angel, incubator, early stage sponsors, fund of funds, fund of GPs, secondaries, real estate, peer-to-peer, microfinance, litigation finance, art, entertainment, cooperative, impact, hedge, and crypto, including Rule 506(b) and (c) of Regulation D, Regulation S, and Regulation A offerings

    •             Represents fund sponsors in connection with structuring, forming, managing and operating various types of U.S. and non-U.S. private equity, hedge, real estate, funds of funds, and related vehicles

    •             Guides companies in structuring businesses and operations to avoid registering as investment advisers, broker-dealers, investment companies, commodity trading advisers and commodity pool operators

    •             Advises registered investment advisers and registered broker dealers on compliance and operations issues

    •             Represents early-stage and other investment managers in seed-capital arrangements, spinoffs, consolidations, succession planning, joint ventures, complex carry-sharing arrangements, and credit lines

    Prior to joining the firm, Ms. Warren was associated with the private investment funds practices of White & Case in Hong Kong and Fried Frank in New York.  She was also the founder and CEO of a successful luxury eyewear business. Ms. Warren is admitted to practice in the State of New York.

    Ms. Warren received her Juris Doctor from Fordham University School of Law in 2003 and her Bachelor of Business Administration, with honors, from Texas A&M University in 2000.

  • June 10 2019

    Eric Weinstein, a member of the Firm, handles business litigation. Mr. Weinstein has handled, on behalf of lenders, a variety of mortgage banking disputes involving mortgage fraud and recovery, title insurance coverage and predatory lending. He lectures frequently on those topics. Mr. Weinstein also handles complex breach of contract, fiduciary duties and other business torts—all of which were implicated in case he argued and won in a controversial (4-3) decision before the New York Court of Appeals (Tzolis v. Wolff). Mr. Weinstein also has considerable experience litigating intellectual property, defamation and employment discrimination cases. Mr. Weinstein is admitted to the New York State Bar, the U.S. District Courts for the Southern, Eastern, and Northern Districts of New York, and the U.S. Courts of Appeals for the Second and Sixth Circuits.

    Mr. Weinstein graduated cum laude from the University of Pennsylvania and received a J.D. degree from the UCLA School of Law, where he was an associate editor of the UCLA Law Review. He began his career as an associate with the Kaye Scholer firm and eventually co-founded Feldman Weinstein & Smith, where he managed the firm’s litigation department. He is a Member of the Association of the Bar of the City of New York.

  • June 10 2019

    Sarah E. Williams, a member of the Firm, is a corporate and securities attorney. Her practice is focused on securities, mergers and acquisitions, finance and general corporate law. She represents foreign and domestic issuers of securities as well as investors, underwriters and placement agents in connection with both public and private offerings of equity and debt securities. Ms. Williams has experience with primary and secondary public offerings (including SPACs) as well as private placements, PIPEs and reverse mergers. In the mergers and acquisitions area, Ms. Williams has represented both buyers and sellers of businesses in a variety of industries. Ms. Williams also provides counsel with respect to ongoing regulatory compliance (including ongoing compliance with the SEC, AMEX, NASDAQ, FINRA and state securities laws and regulations) as well as general corporate governance matters. She also has knowledge and understanding of the JOBS Act and CrowdFunding.

    Ms. Williams received a Bachelor of Arts degree from Rutgers University in 1994 and a Juris Doctor from Seton Hall Law School in 1999. While in law school, she served as a student law clerk to the Honorable William G. Bassler of the United States District Court for the District of New Jersey. Ms. Williams is admitted to practice before the State of New York, the State of New Jersey and the U.S. District Court of New Jersey. She is a member of the Association of the Bar of the City of New York, the New York State Bar Association and the American Bar Association.

  • June 10 2019

    Annie Y. Wong, Of Counsel to the Firm, focuses her practice on mergers and acquisitions, private equity formation as well as general corporate matters.

    Ms. Wong received a Juris Doctor degree in 1980 from the New York University School of Law where she was a Root-Tilden Scholar, and received a Bachelor of Arts degree in 1977 from the College of Arts and Sciences of Cornell University.

    Ms. Wong is admitted to practice law in the State of New York and is fluent in Mandarin and Cantonese Chinese.

  • June 10 2019

    Jessica Yuan, a member of the Firm, represents domestic and international clients in all aspects of corporate and securities law, with a particular focus on securities regulation, public and private offerings, mergers and acquisitions, and general corporate and corporate governance matters. She has extensive experience in international business transactions, especially in Asia.

    Prior to joining the Firm, Ms. Yuan was associated with the law firm of Loeb & Loeb LLP.

    Ms. Yuan received a Juris Doctor degree from American University, Washington College of Law in 2007 and a Bachelor of Arts degree in Political Science from Amherst College in 2002. She is fluent in Mandarin. Ms. Yuan is admitted to practice in the State of New York.

  • June 10 2019

    Morris C. Zarif, an associate of the Firm, practices in all aspects of corporate and securities law, with a particular focus on securities regulation, public and private offerings, mergers and acquisitions and general corporate matters.

    In 2017, Mr. Zarif graduated from the LL.M. program in Securities and Financial Regulation at Georgetown University Law Center.  While at Georgetown, Mr. Zarif worked at the United States Securities and Exchange Commission where he engaged in investigations of issuers, broker-dealers and individuals.  Mr. Zarif also has experience dealing with securities and bank regulatory issues, having worked at investment banks such as Credit Suisse, the Bank of China International (US) Commodities and Futures and Standard Chartered Bank, as well as experience working at a financial technology (FinTech) startup company, and the Financial Industry Regulatory Authority.

    In addition to his LL.M, Mr. Zarif received his Juris Doctor from Brooklyn Law School in 2015, with a Certificate in Business Law, where he served as a Senior Editor on the Journal of International Law and wrote his note on the international regulation of Bitcoin and other Cryptocurrencies.  Mr. Zarif received a Master’s Degree from the Interdisciplinary Center of Herzliya, Israel, in International Diplomacy and Conflict Studies in 2012.  He is admitted to practice law in New York and New Jersey and is proficient in Hebrew.

“It’s with genuine appreciation to all of our clients that we are in a position to achieve and maintain our leadership position in so many areas.”