New York, 1978
- New York University School of Law, LL.M.
- Rutgers University School of Law, J.D.
- Washington University, B.A.
Jim’s practice covers corporate financing, M&A and U.S. securities law matters for U.S., Canadian and other foreign clients. His extensive experience includes SEC registered offerings, private placements under Section 4(2), Regulation D and Rule 144A, leveraged buyouts, recapitalizations, spin-offs, high yield debt offerings, medium term note and commercial paper programs, domestic and cross-border mergers and acquisitions (including “going-private” transactions) and cross-border and issuer tender offers. He has represented the issuer or underwriter in offerings by companies in diverse industries and has been involved in offerings of numerous financial products, including TOPrS, PERCS, PERCS Units, STRYPES and LYONS. He also regularly advises clients on corporate governance and ongoing SEC compliance and reporting requirements, including Sarbanes-Oxley policies and procedures, and NASDAQ and NYSE listing and compliance requirements.