Securities Transactions

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  • Represented emerging music industry issuer in Series A-1 Preferred Stock private placement financing.

  • Represented celebrity clients in connection with investments in early-round financing of start-up and operating companies in technology, cannabis, music, and social media industries.

  • Represented clients in connection with submissions to FINRA resulting in FINRA closing a filing deficiency investigation of an OTC Markets company.

  • Represented investment fund in connection with a private placement.

  • Represented underwriter of a China-based company in connection with a US public offering.

  • Represented family members making investments in a real estate investment fund, including the negation of side letter offering clients terms more advantageous than those being granted to other fund investors.

  • Representing CBD manufacturer and distributor in SEC Regulation A Tier 2 (Up to $50 Million) Offering of preferred stock.

  • Represent fintech issuer in Series A Preferred Stock private placement financing.

  • Represent emerging music industry issuer in Series A Preferred Stock private placement financing.

  • Represented public company in successfully appealing OTC Markets ruling on trading restrictions.

  • Represented music industry executive in sale of management business to major music-industry company, and employment agreement for executive’s future services.

  • Representing education services company in international and domestic financing in seed financing.

  • Represented client in removal of trading restrictions with respect to investment securities in a publicly traded, former “shell” corporation.