Securities Transactions

Represented an emerging music industry enterprise in seed and Series A funding rounds.
Represented investment funds in connection with private placements.
Represented a start-up client in the sale of SAFES and entering into consulting and advisory agreements with software developers and industry participants.
Represented a public company in initiating a stock buy-back program.
Represented newly formed cryptocurrency funds in two Rule 506(b) private placements, including preparation of operating agreements and offering documents, and SEC and state “Blue Sky” filings.
Represented commercial real estate feeder fund in Rule 506(b) private placement, including formation of feeder fund and drafting of offering documents.
Represented healthcare technology company in connection with proposed underwritten initial public offering, including preparation of S-1 Registration Statement.
Represented celebrities in endorsement arrangements with established food and beverage, technology, and clothing companies, and start-up technology, cryptocurrency, and other business enterprises.
Represented numerous professional athletes, multi-Grammy award winning musicians, and other celebrities, in their investments in SAFEs, Seed Round securities, and late-round Preferred Stock offerings.
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 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.

Represented an emerging music industry enterprise in seed and Series A funding rounds.

Represented investment funds in connection with private placements.

Represented a start-up client in the sale of SAFES and entering into consulting and advisory agreements with software developers and industry participants.

Represented a public company in initiating a stock buy-back program.

Represented newly formed cryptocurrency funds in two Rule 506(b) private placements, including preparation of operating agreements and offering documents, and SEC and state “Blue Sky” filings.

Represented commercial real estate feeder fund in Rule 506(b) private placement, including formation of feeder fund and drafting of offering documents.

Represented healthcare technology company in connection with proposed underwritten initial public offering, including preparation of S-1 Registration Statement.

Represented celebrities in endorsement arrangements with established food and beverage, technology, and clothing companies, and start-up technology, cryptocurrency, and other business enterprises.

Represented numerous professional athletes, multi-Grammy award winning musicians, and other celebrities, in their investments in SAFEs, Seed Round securities, and late-round Preferred Stock offerings.

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 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.