Posts
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.
March 13 2023
Adam Berkaw, a partner of the Firm, represents clients in all aspects of corporate and securities law. He focuses his practice on initial public offerings and other primary and secondary equity offerings, mergers and acquisitions (including DeSPACs), corporate governance and other general corporate law matters. In addition, he also has significant experience in advising domestic and international clients on SEC reporting requirements, stock exchange rules and regulations and other regulatory compliance matters. Mr. Berkaw has represented clients in a diverse range of industries, including banking, manufacturing, retail, consulting, pharmaceuticals, food service, energy, shipping, telecommunications, technology, Fintech, and digital currency mining, among others.
Prior to joining the Firm, Mr. Berkaw was previously associated with White & Case LLP, Jones Day and Linklaters LLP. He received his J.D. from Columbia University and his B.A. from the University of Michigan. He is admitted to practice in the State of New York.
September 23 2024
Nicole Cerullo, an associate of the Firm, represents companies on general corporate matters, including mergers and acquisitions. Ms. Cerullo has represented clients in a variety of industries, including the financial services, energy and technology sectors.
Prior to joining the Firm, Ms. Cerullo was an attorney at Fried, Frank, Harris, Shriver & Jacobson LLP in New York.
Ms. Cerullo received her J.D. from Cornell Law School and her B.S. in Business Administration and B.A. in Political Science from Stony Brook University. Ms. Cerullo is admitted to practice law in the State of New York.
June 01 2021
Jonathan Cramer, 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, 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 has also advised issuers and underwriters on their public and private securities offerings, as well as clients and their boards on corporate, governance, fiduciary, contract, SEC reporting, securities and other relevant business laws.
Mr. Cramer has worked with a diverse group of clients, both domestic and international, ranging from Fortune 500 and CAC 40 public companies and large and mid-cap investment funds to private start-up companies and small venture capital funds. He has represented clients in a variety of industries, including software and other technologies, finance, security services, energy, manufacturing, healthcare, food and hospitality, retail and consumer products and services and music publishing. Mr. Cramer has worked on transactions involving numerous non-US jurisdictions, including France, the UK, the Netherlands, Italy, China, and Canada.
Mr. Cramer also has significant experience with private placements, debt financing transactions, commercial contracts, employment agreements, equity incentive plans, SEC and other governmental reviews and investigations.
Prior to joining the Firm, Mr. Cramer was a partner with the firms of Baker & Hostetler LLP, Ropes & Gray LLP and Andrews & Kurth LLP and started his career as an associate with Shearman & Sterling LLP—all in New York, New York.
Mr. Cramer is a member of the International Bar Association, the French American Chamber of Commerce and the French American Foundation’s Transatlantic Forum.
Mr. Cramer is licensed as an attorney in the State of New York. He received his JD in 1981 from the University of Virginia School of Law, as well as his Bachelor of Arts (BA) degree in 1977 from Tufts University.
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
Douglas S. Ellenoff, a member of the Firm since its founding in 1992, is a corporate and securities attorney with a focus on developing innovative securities programs for entrepreneurs, like SPACs, PIPEs, and Crowdfunding. 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 several hundred 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 1,000 registered blind pool offerings (commonly referred to as “SPACs”); In addition to our IPO experience with SPACs, he has been involved with hundreds of SPAC M&A assignments. The Firm represents nearly 100 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 Vice Chairman of NextPlat, Inc. (NXPL), a NASDAQ publicly traded e-commerce company.
Mr. Ellenoff was also a co-founder, managing member of and indirect owner of both iDisclose and Guardd, which are ancillary businesses 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.
Mr. Ellenoff has been ranked by Chambers and Partners USA as a Notable Practitioner: “Douglas Ellenoff is a leading figure in equity capital markets, garnering fame for his ability to take blank-check companies public. He is very knowledgeable about SPACs as he has done this for a long time.”
Past speaking engagements and articles:
Mr. Ellenoff was invited by Deal Flow Media to participate in their Microcap Conference 2025 speaking on a panel titled: Microcap Market Trends & Outlook for 2025.
Mr. Ellenoff was invited by Deal Flow Events to open the SPAC Conference 2024 with the keynote address. EGS served as the premier sponsor.
Mr. Ellenoff was interviewed by Yelena Dunaevsky for JD Supra’s fourth annual SPAC Notebook. He discussed what lies ahead for the SPAC market in 2025. Many anticipate continued positive momentum, but a few risks and uncertainties remain. Click here to read some highlights from the interview.
Mr. Ellenoff was featured on the Drinks With The Deal podcast with Bill Meagher, where he spoke about how SPACs’ obituary was premature. Listen here.
Mr. Ellenoff was invited by Deal Flow Media to present at their SPAC Conference in New York (June 2023). He opened the conference with his State of the Market presentation.
Mr. Ellenoff was invited by the House Financial Services Subcommittee on Capital Markets to testify on their behalf at their hearing on February 8, 2023, entitled “Empowering Entrepreneurs: Removing Barriers to Capital Access for Small Businesses.” The hearing will address access to capital as it looks to approve legislation aiming to improve funding for early-stage firms. Click here to view it.
Mr. Ellenoff was invited by Deal Flow Media to present at their SPAC Conference in New York (June 2022) and in London (December 2022).
Mr. Ellenoff was invited by Raymond James to participate in their virtual SPAC event titled: “All-Star SPAC Event: Optimizing Your Game Plan.”
Mr. Ellenoff was quoted in an article in Sportico titled: “SEC’s Latest Move to Curb SPACs May Slow but Won’t Stop Market.”
Mr. Ellenoff was featured in an article in Luckbox Magazine titled: “The King of SPACs.”
Mr. Ellenoff was invited by Marcum Bernstein & Pinchuk LLP to participate in their webinar titled: The SPAC Boom Comes to Asia. In this webinar, you’ll hear from prominent SPAC dealmakers with boots on the ground in Asia, talking about the leading indicators which suggest a coming wave of activity from the Far East as major investors in the region gear up with their own SPAC strategies.
Drew Bernstein of Marcum Bernstein & Pinchuk LLP interviewed Mr. Ellenoff and got his views on what is fueling the SPAC boom and if it is a bubble likely to burst any time soon: All In On SPACs.
Mr. Ellenoff was invited by Woodruff Sawyer to participate in their webinar titled: SPAC SPRING 2021 UPDATE. The webinar provided SPAC sponsors and operating companies with the latest SPAC market updates, practical insights, and advice from industry leaders.
Mr. Ellenoff was quoted in Global Legal Post’s article titled: “Mid-sized New York firm trumps Kirkland and Skadden in $77bn SPAC IPO bonanza.”
Mr. Ellenoff was quoted in the Wall Street Journal’s article titled: “SPAC Hot Streak Put on Ice by Regulatory Warnings.”
Mr. Ellenoff was invited by Dunton Rainville to participate in their webinar with the Toronto Stock Exchange (TSX) and the University of Quebec in Montreal on alternative public financing. Mr. Ellenoff spoke on the SPAC markets; mainly US SPACs, regarding origin of the blank check companies, current markets, regulations, and pros and cons.
Mr. Ellenoff was quoted in Bloomberg Law’s article titled: “Decades-Long SPAC Bet Pays Off for Law Boutique Beating Titans.”
Mr. Ellenoff was quoted in the Law.com article titled: “SPAC to the Future: Law Firms Are Riding the Wave as Interest Explodes.”
Mr. Ellenoff was invited by The Penn SPAC Club to speak at The SPAC Opportunity Summit. The summit brought together industry experts and those with real-world SPAC execution experience to discuss the current state of the SPAC market, legal implications of SPACs, and what lies ahead for this alternative vehicle which has taken the market by storm.
Mr. Ellenoff was quoted in Bloomberg Law’s article titled: “Big Law Firms Scramble to Cash in on Blank-Check Bonanza.”
Mr. Ellenoff was quoted in Reuters’ article titled: “Ackman seeks $3 billion for largest-ever blank-check company.”
Mr. Ellenoff was invited by Deloitte to participate in their webcast titled: SPACs–Trends, transaction challenges, and keys to success.
Mr. Ellenoff was quoted in Crowdfund Insider’s article titled: “King of SPACs: Doug Ellenoff of EGS Discusses the Hot SPAC Market – “Not a Fad”
Mr. Ellenoff was invited by Gateway Investor Relations to participate in its SPAC Webinar which brought together experienced leaders in the SPAC asset class to discuss the explosive growth of IPO issuance and other market dynamics.
Mr. Ellenoff was quoted in CFO’s article titled: “Bill Ackman Files for Largest-Ever SPAC Offering.”
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 participate 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 day. Mr. 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
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.
May 14 2024
David E. Fleming, a member of the Firm, is a highly experienced corporate and securities lawyer focusing his practice primarily on capital market and corporate finance transactions. He regularly advises U.S. and foreign issuers, investment banks, investors and lenders in complex public and private securities offerings. David represents clients in initial public offerings, follow-on public offerings, registered direct offerings, SPACs, DeSPACs, PIPEs and private placements of equity and debt securities. He also regularly represents public companies regarding their SEC and NYSE or Nasdaq listing compliance.
Mr. Fleming frequently negotiates complex mergers and acquisitions, asset purchases and divestiture agreements. He is a trusted advisor to boards of directors and senior management on their securities disclosure and regulatory compliance, corporate governance and investor relations.
Prior to joining the firm, he had been a partner at several national law firms. For over 12 years, he was also the senior vice president, general counsel and secretary of a Nasdaq Global Stock Market-listed energy company, where he directly participated in raising more than $240 million of equity, growing the company from a startup to over $140 million of revenue, leading to a successful $100 million initial public offering, and subsequently reaching a market capitalization of more than $1 billion.
In addition, Mr. Fleming had served as the chief executive officer at American Postal Infrastructure Partners, a private equity-backed company that specializes in the purchase, operation and repositioning of real estate leased to the U.S. Postal Service. In this role, he led the acquisition of over 390 commercial properties in 38 states.
He is admitted to the practice of law in the States of New York, Connecticut and Maryland and the U.S. District Court for the Eastern District of New York.
Mr. Fleming graduated from Cornell University with a Bachelor of Arts degree in Government; Harvard University with a GSS in Administration and Management, where he was selected as a Langlois Scholar and Class Marshal (first in class) and the University of Maryland School of Law with a Juris Doctor degree, cum laude.
He is a member of the American Bar Association; New York City Bar Association; Maryland State Bar Association and the U.S. Society of Petroleum Engineers.
August 20 2025
Bridget (Hanting) Gao, an Associate of the Firm, advises on corporate and securities law, with a focus on mergers and acquisitions, private equity and venture capital, capital markets, and cross-border transactions. She has represented leading investment funds as well as multinational and domestic strategic investors, in deals across the technology, healthcare, semiconductor, and logistics sectors.
Before joining the Firm, Ms. Gao was General Counsel of Sansure Biotech Inc., a listed biotechnology company, and a salary partner at Han Kun Law Offices in Beijing. She earned her LL.M. with honors from Columbia Law School, an LL.M. in Civil and Commercial Law from China University of Political Science and Law, an LL.M. in European and International Law from the University of Hamburg, and an LL.B. from Southwest University of Political Science and Law.
She is fluent in Mandarin and English and admitted to practice in the People’s Republic of China.
June 30 2025
Charles R. Goodwin, an associate of the Firm, represents clients in corporate and securities law, with a particular focus on mergers and acquisitions, securities regulation, public and private offerings, and general corporate matters.
Prior to joining the firm, Mr. Goodwin was associated with a leading mid-size New York City law firm, where he advised on middle-market M&A transactions across a broad range of industries, with a particular emphasis on founder-led businesses and private-equity backed transactions. Mr. Goodwin was the James L. Biggane Fellow at the New York State Senate Finance Committee where, among other responsibilities, he was responsible for providing financial analysis and on, and drafting select provisions of, legislation such as New York’s Marihuana Regulation and Taxation Act.
Mr. Goodwin graduated cum laude from the Maurice A. Deane School of Law at Hofstra University, where he received the Gold Public Service Award and was a Student Honors Program Intern with the United States Securities and Exchange Commission’s Office of International Affairs in Washington D.C., and the New York Regional Office’s Enforcement Division in New York City. He received his LL.B, G.D.L. and L.P.C. in London, England, from the College of Law, England & Wales, and a B.A. in History from Richmond, the American International University in London.
Mr. Goodwin is admitted to practice law in New York.
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
Justin H. Grossman, a member of the Firm, focuses his practice on corporate and securities law, along with a significant emphasis on capital markets transactions. As a seasoned capital markets attorney, Mr. Grossman advises both issuers and banks in a wide range of financing transactions, including initial public offerings (IPOs), registered direct offerings, private investment in public equity (PIPEs), follow-on offerings and private placements.
Mr. Grossman is experienced in navigating clients through the complexities of federal securities laws and exchange listing requirements. He regularly assists in the preparation and negotiation of registration statements, underwriting agreements, and related disclosure documents. His counsel extends beyond the offering process to advising public companies on SEC compliance, corporate governance, and ongoing disclosure obligations.
Additionally, Mr. Grossman advises private companies through early-stage financings, including seed and venture capital rounds. He helps founders and investors structure and negotiate financing terms, prepare investment documentation, and address key legal and business considerations at each stage of growth. His industry experience spans technology, life sciences, fintech, and consumer sectors.
Recognized for his professional excellence, Mr. Grossman has been selected to the Super Lawyers Rising Stars list for 2024–2025.
June 10 2019
John J. Hart, a member of the Firm, is a corporate and securities attorney. His practice focuses on the representation of investment banks and institutional investors in securities offerings.
Mr. Hart has extensive experience in registered directs (RDs), confidentially marketed public offerings (CMPOs), at-the-market offerings (ATMs), follow-on offerings and private investments in public equity (PIPEs) by companies, both domestic and foreign, in diverse sectors such as life sciences, digital currency, mining, education, renewable energy and technology. He regularly represents investment banks as agent in ATMs and leads the Firm’s practice on ATMs. He has experience with company representation, corporate governance, M&A transactions and other aspects of corporate and securities law.
Mr. Hart is a graduate of Brooklyn Law School and Reed College. He is admitted to practice in the State of New York. He was previously associated with Moses & Singer LLP and Weinstein Smith LLP. In his free time, he enjoys live music, city parks and restaurants.
August 18 2025
Yunhui (Howard) He, 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, and merger and acquisition.
Mr. He received his J.D. from Emory University School of Law. He received his bachelor’s degree in philosophy and master’s degree in law from Peking University.
Mr. He is admitted to practice in the states of New York and Georgia. He is a native Mandarin speaker.
June 30 2025
Felicitas Lacioppa, 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 also has experience advising clients on cross-border transactions.
Ms. Lacioppa received her LL.M. in Business, Corporate, and Finance Law from Fordham Law School in 2022. She earned her law degree in 2019 from Universidad de San Andrés, a top-tier law school in Buenos Aires, Argentina, where she also served as Editor-in-Chief of the university’s Law Review.
Prior to joining the Firm, Ms. Lacioppa worked in the Finance and Capital Markets group of an international law firm, where she advised on debt securities issuances, including Rule 144A/Regulation S bond offerings, sovereign debt offerings, and liability management transactions. She also practiced in the Corporate Dispute Resolution and Financial Regulation team at a New York-based firm. Earlier in her career, she worked in the Corporate, Banking, and Capital Markets practices of leading law firms in Argentina.
Ms. Lacioppa is admitted to practice in the State of New York and in Buenos Aires, Argentina. She is a native Spanish speaker.
July 06 2021
Meredith Laitner, is a member of the Firm and Leader of the Firm’s DeSPAC practice group and Co-Head of the Firm’s Mergers & Acquisitions practice group. Ms. Laitner’s practice is focused on complex transactional work representing companies, funds, investors, placement agents and financing sources in complex mergers and acquisition transactions, financings, purchases, roll-ups, minority and majority investments, joint ventures and collaborations, divestitures, sales and spin-offs, private placements, SPAC and deSPAC transactions and other securities offerings, capital raises and major corporate transactions.
Ms. Laitner represents corporate sponsors, investors and private and public companies evaluating, pursuing or exiting business opportunities, as well as advising boards and committees on corporate governance matters. Some of the many industries in which Ms. Laitner has transactional experience include consumer goods and eCommerce platforms; health care, biotechnology and life sciences; alternative energy; financial services and transportation and mobility.
Ms. Laitner is co-head of the firm’s “deSPAC” practice group, regularly leading legal teams representing SPACs and operating companies engaged in go-public transactions to list on US national exchanges.
December 17 2021
David Landau, a member of the Firm, is an experienced corporate attorney specializing in mergers and acquisitions, securities offerings and corporate governance.
Mr. Landau has represented clients ranging from Fortune 500 companies to individual entrepreneurs to foreign governmental entities. He has negotiated numerous transactions over the years, including the acquisitions and sales of public companies, private entities, and Special Purpose Acquisition Companies (SPACs). He coordinates deal teams consisting of tax, intellectual property, real estate, employee benefits and executive compensation, and environmental attorneys. In addition, Mr. Landau has headed teams advising clients on equity and debt offerings and has rendered sophisticated advice to boards of directors and C-suite executives.
Prior to joining the Firm, Mr. Landau was a partner at Katten Muchin Rosenman LLP and Ballard Spahr LLP, both AmLaw 100 firms, for most of his career.
Mr. Landau was formerly a member of the Board of Directors of the Runway of Dreams Foundation, a not for profit, that works toward a future of inclusion, acceptance and opportunity in the fashion industry for people with disabilities.
Mr. Landau has a B.S. in Economics from the Wharton School of the University of Pennsylvania and a J.D. from the New York University School of Law.
December 06 2021
Carolyn Ma, 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. Ma was associated with the firm of Dentons Shanghai. Ms. Ma received her LL.M. degree from Southern Methodist University Dedman School of Law. She also received her Master of Laws degree from Shanghai University of International Business and Economics and her Bachelor of Laws degree from Henan University.
Ms. Ma is admitted to practice in the State of New York. She is a native Mandarin speaker.
April 05 2021
Steven Mermelstein, of counsel to the Firm, is a corporate and securities attorney. He focuses his practice on mergers and acquisitions, venture finance, corporate governance, and general corporate law matters. He represents buyers and sellers in domestic and international mergers, acquisitions, divestitures, restructurings, and joint ventures, as well as foreign and domestic issuers and investors in private placement and public offerings, including SPAC IPOs and PIPE financing transactions. Mr. Mermelstein also advises clients on the public reporting requirements of issuers and shareholders.
Mr. Mermelstein previously was an associate at Goldfarb Seligman & Co., one of Israel’s largest law firms, where he represented venture capital and private equity funds in their investments into Israeli technology companies and represented Israeli companies in connection with private financings, public offerings, merger transactions and compliance with US securities laws and exchange requirements. Prior to working at Goldfarb Seligman & Co., Mr. Mermelstein was an associate at Sullivan & Cromwell LLP in New York.
Mr. Mermelstein holds a bachelor’s degree in Economics from Yeshiva College and earned his Juris Doctor degree from Harvard Law School. He is admitted to practice in the State of New York and is fluent in Hebrew.
Mr. Mermelstein was selected as a Rising Star in the Business & Corporate Practice Area for 2024 by Super Lawyers publication.
March 01 2022
Nahal A. Nellis, a member of the Firm, focuses his practice on acquisitions, mergers, securities, and representation of family offices. He has extensive experience in public and private M&A, including public M&A and SPACs, private equity and securities, as well as acquisitions and sales of companies in auctions. He also advises select entrepreneurial companies in formation, license and asset acquisition, and funding matters.
Mr. Nellis similarly advises family offices and high net worth individuals in a range of transactions and matters, including strategic acquisitions, and dispositions, formations and strategic investment negotiations, and matters pertaining to family offices. He also represents family offices and similar entities in their credit and derivatives arrangements with bulge-bracket and regional banks.
Prior to being a partner at the firm, Mr. Nellis was a partner at a boutique cross-border corporate law firm. He began his career at Dewey Ballantine LLP and was also associated with Dechert LLP in New York. Mr. Nellis received a Juris Doctor degree cum laude from Cornell Law School, and a Bachelor of Arts degree in Political Science from Stanford University. He also has passed Level 1 of the Certified Financial Analyst Program. Mr. Nellis is a member of the bar of each of New York, Israel and Florida. He enjoys hiking, regional foods and medieval history. Mr. Nellis is a board member of the not-for-profit board of directors (American) of the Tel Aviv-Yafo Foundation.
June 10 2019
Stuart Neuhauser, a member of the Firm, and co-head of the Firm’s SPAC Practice, is a corporate and securities attorney with a focus on business transactions and corporate financings. 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 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 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, a member of the Firm, represents clients in all aspects of corporate and securities law and focuses his practice on mergers and acquisitions transactions, securities law compliance and general corporate law matters. Mr. Okomba also advises publicly-listed companies on regulatory and securities law compliance, including stock exchange-related compliance.
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.
September 09 2021
Mark Orenstein, a member of the Firm, is a corporate and securities attorney. His practice is focused on the following securities transactions and securities-related matters:
- public offerings of debt and equity securities (including SPACs and Regulation A+) and private placements (including PIPEs, other Rule 506 offerings and offshore offerings pursuant to Regulation S)
- mergers and acquisitions
- reverse mergers and spin-offs
- compliance with the periodic reporting and other required filings under the federal securities laws
- private equity and venture capital transactions
- listing of securities on, and compliance with the corporate governance and other rules of, the NYSE and NASDAQ, as well as the OTC Markets, and filings with FINRA
Mr. Orenstein started his career at the Division of Corporation Finance of the Securities and Exchange Commission. Prior to joining the Firm, he was a partner of Schnader Harrison Segal & Lewis and Snow Becker Krauss; a Senior Attorney at Kaye Scholer Fierman Hays & Handler; and Counsel at Eaton & Van Winkle and Mandelbaum Salsburg.
Mr. Orenstein is admitted to practice in the State of New York.
Mr. Orenstein received his J.D. from the Hofstra University School of Law and a B.A. (Cum Laude) in Political Science and Economics from City College of New York (where he was elected a member of Phi Beta Kappa).
January 07 2025
Mayank Pradhan is an associate at the Firm, focusing his practice on securities, mergers and acquisitions, finance, and general corporate law. He represents both foreign and domestic issuers of securities, as well as investors, underwriters, and placement agents, in connection with public and private offerings of equity and debt securities. His work also includes ongoing regulatory compliance (covering requirements from the SEC, NYSE, NASDAQ, and FINRA) and advising on general corporate governance matters.
Mr. Pradhan earned his LL.M. from UC Berkeley School of Law and holds a Bachelor of Economics and a Bachelor of Laws from Hidayatullah National Law University. He is admitted to practice in New York and India.
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 investment banking attorney who represents clients in all aspects of corporate and commercial law, with a particular focus on securities law compliance, public and private equity finance and corporate governance.
Currently, Mr. Rosenbloom serves as a leader of the Corporate Department’s ’34 Act Group, where he oversees the Firm’s representations of public companies and their various corporate and securities needs. In this capacity, he also serves as a gateway for clients to other practice areas within the Firm, including labor and employment, intellectual property and litigation. He also regularly acts as outside general counsel to companies, advising them on a wide array of general commercial matters. During his career, he has developed significant experience in the life sciences sector, including representations biotechnology and medical device companies. He also has experience in the real estate sector, including work with real estate investment trusts and real estate opportunity funds.
Mr. Rosenbloom’s experience includes representation of private companies, companies going public and 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, NASDAQ, NYSE and FINRA. In addition to representing issuers of securities, he represents investors, underwriters and placement agents in connection with both public and private offerings of equity and debt securities. In particular, Mr. Rosenbloom has significant experience with registered primary and secondary public offerings (including Registered Directs, Confidentially Marketed Public Offerings and SPACs) as well as private placement and PIPE transactions.
Mr. Rosenbloom also has experience in the mergers and acquisitions area, having represented both buyers and sellers of businesses and assets in a variety of industry sectors in both public and private transactions.
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-traded 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
Lloyd N. Steele, a member 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.
September 09 2024
Doniel Y. Weiss, an Associate of the firm, practices in corporate and securities law, with a particular focus on mergers and acquisitions, securities regulation, public and private offerings, periodic reporting requirements under the Securities and Exchange Act of 1934, and general corporate matters.
Mr. Weiss received his J.D. degree from Washington University School of Law. He received his Bachelor of Arts degree from the Excelsior University.
Mr. Weiss is admitted to practice in the state of New York.
April 06 2021
Summer Yuan, an associate of the Firm, practices in all aspects of corporate and securities law, with a particular focus on mergers and acquisitions and general corporate matters.
Prior to joining the Firm, Ms. Yuan was an associate at Hogan Lovells US LLP in New York. Ms. Yuan received her Juris Doctor from The George Washington University Law School in 2017, where she was a Thurgood Marshall Scholar, and her Bachelor of Arts degree from the University of Pennsylvania in 2011.
Ms. Yuan is admitted to practice in the State of New York. She is a native Mandarin speaker.