SECURITIES LAW BLOG - Key Persons
Mr. Friend completed his undergraduate work at the University of Central Florida, where he majored in legal studies. He later interned at a private law firm and received his J.D. from Nova Southeastern University Law School, Cum Laude. Mr. Friend has earned CALI High Grade Awards in Securities Regulation, Corporate Finance, Antitrust Law, Civil Pre-Trial Practice, and Federal Jurisdiction.
Mr. Friend went on to obtain a Master's Degree of Law in Securities and Financial Regulation from Georgetown University Law Center, graduating with distinction. Mr. Friend served as the Vice President of the Securities and Financial Law Organization, and earned a CALI High Grade Award in Fraud and Fiduciary Duties Under the Federal Securities Law. While living in Washington, D.C., he was selected to work in the Division of Enforcement at the U.S. Securities & Exchange Commission headquarters, pursuant to their honor's legal externship program. While working at the SEC, Mr. Friend assisted in the investigation of financial fraud, unregistered offerings of equity securities and municipal bonds, and other potential violations of the federal securities statutes and regulations. He also reviewed public company disclosure filings, and assisted in taking testimony from a defendant in an investigation of unregistered securities offerings.
He attended the Annual Federal Securities Institute Conference for the years 2013 and 2014, and the Securities Enforcement Forum 2013 Conference. He is a member of the ABA Business Law Section, as well as the ABA Administrative Law and Regulatory Practice Section. Mr. Friend resides in Palm Beach County. Mr. Friend is a member of the Florida Bar Association.
Craig D. Linder, Esq. is an experienced general corporate lawyer with expertise in securities law, corporate governance and mergers and acquisitions matters. Prior to joining the firm, Mr. Linder headed the Securities Finance & Compliance practice group at Rasco Klock Perez & Nieto P.L., a prestigious full-service law firm, after working at various large international law firms such as Squire, Sanders & Dempsey L.L.P., Steel Hector & Davis LLP (which merged with Squire Sanders in 2005), and Dewey & LeBoeuf LLP as a corporate, securities and finance partner for 6 years and as a corporate securities associate for 5 years. Throughout his legal career, Mr. Linder has represented start-ups, early stage, emerging growth, mid-stage and Fortune 500 companies (such as NextEra Energy, Inc., Office Depot, Inc., Ryder Systems, Inc., J.P. Morgan Chase & Co., and Abbott Laboratories) in their business transactions.
In his role as a corporate lawyer, Mr. Linder has been responsible for Securities and Exchange Commission compliance and reporting, a variety of public debt and equity offerings and numerous mergers and acquisitions. He has also assisted clients in listing and maintaining their securities on the NYSE and NASDAQ as well as preparing and maintaining the required corporate governing committee charters. Furthermore, Mr. Linder has assisted clients with the registration of debt, equity and complex hybrid securities with the SEC as well as closing more than US$11 billion in public and private debt, equity, convertible and complex hybrid security offerings. Moreover, he has assisted clients in drafting executive compensation and benefit plans, such as stock-based incentive plans, dividend reinvestment plans, direct stock purchase plans, and shareholder rights plans and registering the securities offered under such plans.
Mr. Linder has provided legal advice and services to issuers of securities and venture capitalists. His legal services as to venture capital financing included representation of clients in connection with initial negotiations, counseling clients with respect to terms and conditions of an anticipated financing, drafting, reviewing and negotiating term sheets, conducting due diligence, and drafting, reviewing and negotiating all venture capital transaction documents, including common stock purchase agreements, preferred stock purchase agreements, investor rights agreements, right of first refusal and co-sale agreements, voting agreements, warrants, note purchase agreements, and other documents and agreements related to the venture capital financing.
Mr. Linder earned his law degree from Loyola Law School, Los Angeles and a Masters of Law in Corporate Taxation from New York University School of Law. He is also a member of the Florida, New York and California State Bars. He was named a Top Deal Maker in 2008 by the Daily Business Review and holds a Martindale-Hubbell AV rating.
Geoffrey Ashburne is a securities attorney who possesses a strong emphasis on the emerging landscape of online capital raising. Mr. Ashburne has worked in coordination with numerous start-ups and wide array of businesses with their capital raises and offerings, particularly Regulation A and Regulation Crowdfunding scenarios.
While attending law school, Mr. Ashburne interned in the Securities & Corporate Governance at Activision Blizzard, Inc., where he prepared the company's quarterly and annual SEC reports. He has since worked with firms specializing in online and JOBS Act securities offerings and drafted a wide range of documents for Regulation A, Regulation CF, and Initial Coin Offerings (ICO's).
Mr. Ashburne received his J.D. from Pepperdine University School of Law, where he was a recipient of the Dean's Excellence Scholarship. He earned his B.A. from the University of California, Los Angeles. Mr. Ashburne is a member of the State Bar of California.
Job Titles:
- of Counsel
- Producer
- Representative
- Tulchin Entertainment 's President / Owner
Harris E. Tulchin is an entertainment lawyer, producer, author, and producer's representative. He graduated from Cornell University and Hastings Law School, and has practiced entertainment, communications, and multimedia law since 1978. He has served as Senior Vice President of Business Affairs and General Counsel for Cinema Group; General Counsel and Head of Business Affairs for KCET Television; Senior Counsel for United Artists; Director of Business Affairs at MGM Television; Counsel for American International Pictures; Counsel for Filmways Pictures; and Counsel for Orion Pictures. Mr. Tulchin is the co-author of a book considered one of the bibles of the motion picture industry, entitled: The Independent Film Producer's Survival Guide: A Legal and Business Sourcebook, published by Schirmer Press, New York (2002, 2005, 2010).
As Tulchin Entertainment's president / owner, Harris E. Tulchin has produced or executive produced more than 20 films including To Sleep With Anger starring Danny Glover and directed by Charles Burnett (Sundance, Cannes 1990, winner of four Independent Spirit Awards); Guy directed by Michael Lindsay-Hogg, starring Vincent D'Onofrio and Hope Davis (UK / Germany, Venice 1997); The Lightkeepers starring Richard Dreyfuss and Blythe Danner; The Golden Boys starring Bruce Dern, Rip Torn, David Carradine, and Mariel Hemingway; The Devil's Double, directed by Lee Tamahori (Once Were Warriors and Die Another Day) with Dominic Cooper and Ludivine Sagnier, it was an official selection of the Sundance, Berlin, Los Angeles, and St. Petersburg, Russia (where it won Best Gala Premier) Film Festivals. (Belgium / the Netherlands / Malta, Berlinale Panorama 2011); The Comeback Trail (Executive Producer) written and directed by George Gallo (Midnight Run, Bad Boys, Middle Men) starring Robert De Niro, Tommy Lee Jones, and Morgan Freeman; and Home (Executive Producer), a Germany co-production directed by Franka Potente starring Kathy Bates, Jake McLaughlin, Lil Rel Howery, and Stephen Root. He also served as Senior Executive Business Affairs and Legal Consultant on The Third Person, a Belgian/Italian coproduction with Corsan, NV and Cinecitta Studios written and directed by Paul Haggis (Crash and In the Valley of Elah), starring Liam Neeson, Mila Kunis, James Franco, Olivia Wilde, Adrien Brody, Maria Bello, and Kim Basinger (2012/2013); Killing Season starring Robert De Niro and John Travolta (Georgia / Bulgaria, Corsan / Nu Image Co-production 2012); Singularity directed by Roland Joffe and starring Josh Hartnett and Tamsin Egerton (Australia / UK / India, Corsan 2012).
Tulchin's current projects include: Marlowe starring Liam Neeson and Diane Kruger, written by William Monahan (The Departed), and to be directed by Neil Jordan (The Crying Game, Interview with the Vampire); Leo From Toledo starring Mel Gibson; The Lowe Men (Executive Producer), a British comedy about identical twins, one a bank robber and one a policeman; Framed (Executive Producer), based on the acclaimed book of the same title by Tod Volpe based on Tod Volpe's journey from art dealer to the stars, to his incarceration for tax fraud and his ultimate repentance; StarStruck (Executive Producer), a five-part mini-series written by Andrew Chiaramonte based on the life of the genius and convicted heretic and father of the scientific revolution, Galileo Galilei; DieRy (Executive Producer), which is currently in post-production; American Terrorist (Executive Producer), a psychological thriller that recently premiered at the Hollywood Film Festival; The Second Sun (Producer's Representative), a period drama that also recently premiered at the Hollywood Film Festival; and Belle de Jour (Executive Producer), inspired by Luis Buñuel's classic 1968 film of the same name.
He has lectured extensively at forums such as UCLA, USC, AFI, IFP, ShowBiz Expo, IFTA, The Sundance Producer's Conference, Singapore Film & Television Conference, Cannes, the Los Angeles Independent, Cine Asia (Bangkok, Thailand and Beijing, China), Galway (Ireland), Los Angeles / AFI and Santa Barbara Film Festivals, Digital Hollywood, The Learning Annex, The International Film School in Cuba, Variety's New York Film Finance Forum, and numerous others. Mr. Tulchin has been a member of the Full Sail Entertainment Business Academy Board of Advisors (Orlando, Florida) and was an Adjunct Professor of Entertainment Law at the Entertainment Law Institute of Southwestern University Law School.
As a producer's representative, Mr. Tulchin has sold and licensed hundreds of films on behalf of his production company clients. Mr. Tulchin was also an IFTA arbitrator, has served as an expert witness in numerous cases involving the motion picture and television business.
Jack A. Fattal is a business attorney, with broad exposure across the legal spectrum, including Real Estate, Securities, M&A and commercial transactions.
Having served as General Counsel at Soho Properties, a Manhattan-based real estate development and investment firm, with upwards of $750 million AUM, as well as at an international Japanese private equity fund, Mr. Fattal brings significant expertise to the firm from an in-house perspective.
Mr. Fattal has also advised clients in a range of private and publicly held companies, as well as financial sponsors and lenders across varied industries, including real estate development, land banking, hospitality operations, hospitality technology, pharmaceuticals, consumer products and retail.
In addition, Mr. Fattal has represented clients in connection with asset acquisitions and restructuring of portfolio investments. He routinely handles matters involving financial restructuring, joint ventures, acquisitions and divestitures.
John B. Lowy is a highly respected and acknowledged legal expert in reverse mergers, public company representation, capital formation, strategic consulting and private and public offerings of all types. He has represented private and public companies for the past three decades, providing technical guidance pertaining to complex securities laws.
As an attorney, an advisor or principal, the Manhattan-based Lowy has led or participated in more than 200 such transactions, creating market value well in excess of $6 billion. He has led the process by which these companies have raised capital or initiated reverse mergers, and has secured listings on their behalf on the NASDAQ and NYSE.
In addition to his work with domestic companies, Lowy has completed transactions for clients based in more than 15 countries. He has represented clients in low- and high-tech sectors, cryptocurrency/blockchain, real estate, pharmaceuticals, medical devices, biotech, cannabis, mining, renewable energy, entertainment, food, agriculture, education and retail, among others.
He is a prolific writer on the topic of securities law and has spoken at numerous microcap conferences. Lowy is currently best known as a contributing editor to MicroCap Review, one of the most widely read publications in the microcap sector.
John Cacomanolis, Esq., is an experienced general commercial lawyer, with an extensive background in mergers and acquisitions (having completed over 400 individual M&A transactions), joint ventures (ranging in size from a few million to over $25 billion), securities compliance, capital-raising, shareholder and board compliance, private equity firm formations and operations, and both public and private company operations.
Prior to joining Anthony L.G., PLLC, from 2007 to 2015 Mr. Cacomanolis was a Partner and General Counsel at Grain Management, LLC, a private equity firm based in Sarasota, FL and Washington, D.C., which focused on investments in the telecommunications industry. At Grain, he was part of the team that took the company from start-up mode to almost $1B in AUM. He managed all legal functions for the company and its subsidiaries, including, with the CEO and CFO, development and implementation of the strategic plan for the company's operations and growth. He oversaw all HR matters, partnership agreements, etc., and had primary responsibility for the firm's investment/asset acquisition program; including the sourcing, evaluation, due diligence and financial modeling of properties and investments and the day-to-day operations following acquisition.
From 2004 to 2007, Mr. Cacomanolis was Associate General Counsel at Global Signal, Inc., an NYSE-listed company which owned and operated cellular communication sites. At Global Signal he had primary responsibility for the company's 1933 Act and 1934 Act compliance, as well as its M&A function and oversight of Internal Audit, and also general corporate matters and operations. During such time he helped grow Global Signal's asset base by 300%, and oversaw the merger of the company into a larger competitor.
Prior to Global Signal, Mr. Cacomanolis was with the law firm of LeBoeuf, Lamb, Greene & MacRae, L.L.P., from 1999 to 2004, mainly based in its New York City offices, but also working in Washington, D.C.; Jacksonville, FL; London, England and Riyadh, Saudi Arabia. At LeBoeuf, Lamb, Mr. Cacomanolis focused on all facets of corporate and transactional practice, mainly for clients in the energy and the internet/communications industries, including dozens of U.S. and international mergers and acquisitions and joint ventures, as well as IPOs and secondary stock and debt offerings.
Job Titles:
- Attorney
- Founding Partner
- Founding Partner / Anthony L.G., PLLC
- Founding Partner / Securities
- Founding Partner of Anthony L.G
Ms. Anthony is an approved PAL and OTC Markets Advisor with OTC Markets Group, the creator and author of SecuritiesLawBlog.com, the security industry's leading source for news and information, included in the ABA Journal's "10th Annual Blawg 100," the producer and host of LawCast.com™, The Securities Law Network, and a contributing blogger for The Huffington Post. Attorney Laura Anthony is recognized by Martindale-Hubbel as one of America's Most Honored Professionals and the recipient of the Martindale-Hubbel Distinguished® Rating.
Ms. Anthony is an honors graduate from Florida State University College of Law and has been practicing law since 1993.
Ms. Anthony is a member of various professional organizations including the Crowdfunding Professional Association (CfPA), Palm Beach County Bar Association, the Florida Bar Association, the American Bar Association and the ABA committees on Federal Securities Regulations and Private Equity and Venture Capital. She is a supporter of several community and charities including the Cystic Fibrosis Foundation, Opportunity, Inc., New Hope Charities, the Society of the Four Arts, the Norton Museum of Art, Palm Beach County Zoo Society, and Kravis Center for the Performing Arts. She is also a financial and hands-on supporter of Palm Beach Day Academy, one of Palm Beach's oldest and most respected educational institutions. She currently resides in West Palm Beach with her husband and daughter.
Attorney Laura Anthony is the founding partner of Anthony L.G., PLLC, a national corporate, securities and business transactions law firm. For 23 years Ms. Anthony has focused her law practice on small and mid-cap private and public companies, the OTC market, NASDAQ, NYSE MKT, going public transactions, mergers and acquisitions, private placement and corporate finance transactions, Regulation A/A+, Exchange Act and other regulatory reporting requirements, FINRA and DTC requirements, state and federal securities laws, crowdfunding, general corporate law and complex business transactions.
Ms. Anthony and the Anthony L.G., PLLC team have represented issuers, buyers, sellers, underwriters, placement agents, investors, and shareholders in mergers, acquisitions and corporate finance transactions valued in excess of $1 billion. Anthony L.G., PLLC has represented in excess of 200 corporate vehicles and private entities in reverse merger, initial public offering and direct public offering transactions.
Attorney Laura Anthony and her experienced legal team provides ongoing corporate counsel to small and midsize private companies, OTC and exchange traded issuers as well as private companies going public on the NASDAQ, NYSE MKT or over-the-counter market, such as the OTCQB and OTCQX. For nearly two decades Anthony L.G., PLLC has served clients providing fast, personalized, cutting-edge legal service. The firm's reputation and relationships provide invaluable resources to clients including introductions to investment bankers, broker-dealers, institutional investors and other strategic alliances.
has been with Anthony L.G. as Of-Counsel since 2004. Mr. Woolf focuses his practice on securities and corporate governance, mergers and acquisitions, capital raising, capital markets and general corporate matters. He advises both privately held and publicly traded companies in all aspects of their businesses including public and private securities offerings, listing of securities on trading markets, Securities Act compliance, Exchange Act reporting, exempt securities offerings, and corporate finance and governance matters.
After graduating in 1987 with an LL.M. in Taxation from the University of Florida College of Law, Mr. Woolf began his law career with a large national law firm in West Palm Beach, Florida. Mr. Woolf graduated from the University of Florida School of Accounting with a B.S. in Accounting and from the University of Florida College of Law with a J.D.
Michael R. Geroe, Esq. has over 25 years of experience providing legal counsel, and is Of Counsel to Anthony L.G., PLLC. He also holds executive business positions with a privately held technology company helping consumers take the frustration out of making complex purchases. Previously, he spent a decade as a senior executive and general counsel of a privately held international advertising technology company. Mr. Geroe has also had private law practices based in Washington, D.C., as a partner in the business transactions group of Williams Mullen and an attorney in the international trade and litigation groups of Dewey Ballantine. Mr. Geroe counsels companies on commercial matters, including licensing and distribution negotiations, intellectual property, employment and real estate lease negotiations; regulatory matters, including data privacy; financing matters, including corporate mergers, acquisitions, dispositions and raising capital and debt; and dispute resolution matters, including litigation, arbitration and collections. He is admitted to the bars of the District of Columbia, New York, California, Missouri, and the U.S. Supreme Court, among others. Mr. Geroe is a member of the American Bar Association and the Association of Corporate Counsel. Additionally, he is a member of the International Association of Privacy Professionals, where he is a CIPP/US, and is a Director of the American-Hungarian Executive Circle. He is a former Trustee of the Bar Foundation of the Bar Association of the District of Columbia (BADC), served three terms as Chairman of the Corporate Law Committee of the BADC, was a member of the steering committee of Operation Crackdown, a BADC project fighting drug crime, and has served as a member of the BADC board of directors. He is also a former Trustee of Jewish Vocational Services of Kansas City. He is fluent in Hungarian. A partial list of publications and additional information about Mr. Geroe is available on LinkedIn (www.linkedin.com/in/mgeroe/). Mr. Geroe received his juris doctor degree from the Columbia University School of Law, where he was a FLAS Fellow and an editor of the Journal of Transnational Law, and graduated summa cum laude from the Georgetown University School of Foreign Service. He lives in California.
Peter Lindley, Esq. CPA, is a Florida attorney with a diverse professional background in corporate law and governance, federal and state securities law, business taxation, and real property transactions and title insurance. Mr. Lindley has structured negotiated and documented large asset and equity conveyance and finance transactions, including treatment of associated federal and state regulatory laws compliance matters, in such transactions as corporate mergers and acquisitions, equity and asset acquisitive and dispositive transactions and transactions securitizing financial assets for remarketing on the secondary market to private and institutional investors.
, is a Florida attorney with a diverse professional background in corporate law and governance, federal and state securities law, business taxation, and real property transactions and title insurance. Mr. Lindley has structured negotiated and documented large asset and equity conveyance and finance transactions, including treatment of associated federal and state regulatory laws compliance matters, in such transactions as corporate mergers and acquisitions, equity and asset acquisitive and dispositive transactions and transactions securitizing financial assets for remarketing on the secondary market to private and institutional investors.
Additionally, Mr. Lindley has represented clients in a variety of entrepreneurial transactions, including both personal property and real property conveyance and finance transactions, and documenting collateral security interests in the financing thereof under the Uniform Commercial Code and other relevant statutory schemes. Mr. Lindley is also a title agent with Attorneys Title Insurance Fund and has been involved in the resolution of various complex title insurance issues necessary to facilitate the conveyance of marketable title in client real property transactions.
Finally, Mr. Lindley has represented individual and entrepreneurial clients in planning and documenting the succession of their businesses and personal estates, including through use of partnerships and limited liability companies, as well as wills and trusts. In certain trust and commercial litigation matters, Mr. Lindley has been involved in supporting the resolution of complex legal issues for both defendant and plaintiff clients.
Mr. Lindley holds an MBA degree, his license as a Florida Certified Public Accountant, and for the decade prior to embarking on his legal career, practiced in public accountancy for two Big-4 CPA firms, as well as the Chief Financial Officer for one of those firm's clients involved in real estate development and agribusiness, and, thereafter, as CFO for one of the largest, now publicly traded, commercial real estate services companies in the United States. Mr. Lindley is admitted to practice before the Southern District Court of Florida where he previously represented clients under Chapters 7, 11 and 13 of the federal Bankruptcy Code.
Job Titles:
- of Counsel
- Attorney and Mediator Licenses and Admissions
Stuart Reed, Attorney and Mediator Licenses and admissions: Admitted to Florida Bar since 1992 Admitted to practice in the United States District Court for the Southern District of Florida Certified by the Florida Supreme Court for Circuit, County and Family Court mediations Education: Florida State University College of Law (J.D., 1992) University of Virginia (B.A., environmental sciences, 1988) North Miami Beach Senior High (1984) Additional educational credentials: Hebrew University of Jerusalem One Year Program for Overseas Students (1986-1987) Summer Seminar on Law and Institutions of the European Union, Universite Libre de Bruxelles (1991) Additional credentials: Member of Greater Hollywood Chamber of Commerce Leadership Program XXXVI Member of City of Hollywood Small Business Enterprise program Board Member, Environmental Coalition of Miami Beach Board Member, Miami Beach Historical Association Former Chair of Miami Beach Marine Authority Former Chair of Sierra Club's Miami Group Former Political Issues Chair, American Immigration Lawyers Association, South Florida Chapter Former Miami-Dade County pollution control inspector.
Stuart Reed, Esq., has worked with Anthony L.G., PLLC in an of counsel capacity since 2004. Reed possesses a wide variety of business law experience. He is also an experienced litigator and his additional practice areas include, but are not limited to; Family Law, Business Law, Immigration Law, Personal Injury Law, Real Estate Law and Mediation. Attorney Stuart Reed is certified by the Florida Supreme Court to handle Circuit, County and Family Court Mediations.
Qualifications and Credentials
Svetlana Rovenskaya, Esq., has most recently worked with a major New York City securities law firm where she specialized in U.S. Securities and Exchange Commission filings, reporting requirements and initial public offerings for domestic and international companies. She also oversaw private placements, PIPE transactions and a broad range of complex corporate transactional matters.
From 2012 to 2013, Ms. Rovenskaya served as an examiner/investigator in the Division of Consumer Affairs-Bureau of Securities for the New Jersey Office of the Attorney General, where her duties included active investigations into securities law violations, and review of registration applications for investment advisors switching from SEC to state registration under the purview of the Dodd-Frank Act. Prior to that, she worked for Abraham, Fruchter & Twersky, LLP, and for Labaton Sucharow, LLP, both in New York City.