Ohio Securities Law Expert #12707

I have 34 years of experience and specialize in the field of securities and general corporate law with specific knowledge in the areas of securities registration exemptions, business and entity planning, and corporate democracy. I have published on such topics as securities exemption planning, limited liability companies and group investing, and entity planning, generally. I have testified 10 times on topics such as legal malpractice in connection with lawyers taking personal interests in client businesses, structuring of joint ventures and investment entities, and other investment entity issues. I served as an Arbitrator for the Claims Administrator in Securities and Exchange Commission vs Prudential Securities Incorporated. This work involved hearing arguments by Prudential Securities lawyers, aggrieved investors and their counsel concerning the investors’ claims for reimbursement from the multibillion dollar fund that Prudential provided to settle claims that the firm sold tax shelters and other private placements that were unsuitable for the investors and were sold without proper disclosures.

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