I practice principally in the areas of corporate finance and securities law, broker-dealer regulation, mergers and acquisitions, and corporate law. For three years, I served as General Counsel/Senior Vice President to a large, publicly-traded regional securities brokerage/clearing firm, with an active software/web-based technology division. I have technical and practical experience in a wide variety of business and financial transactions, including public and private debt and equity financings, tender offers, SEC/FINRA/Blue Sky Regulatory Matters and arbitrations, acquisition and financing transactions, venture capital investments, and the like.
My dad was a pharmacist and owned a pharmacy and pharmaceutical business. I grew up living that business, and gained an understanding and insight for what makes a business tick: it’s cutting through all the challenges and finding out how to get things done. Whether it’s dealing with regulatory concerns, capital concerns, regular business operations, or closing an M&A transaction, I help my clients reach their goals.
Because I have seen business operations as both outside and inside counsel, I understand my clients’ perspective and goals, as well as the legal side of what needs to get accomplished. For three years, I served as in-house General Counsel of a public company, and have represented numerous clients (both on the banker and issuer side) in raising capital through IPO and private and public offerings (including IPOs). I have a wealth of public company experience, both operational matters and public and private company M&A work. I also have deep experience with all aspects of REITs, funds and broker-dealer/registered representatives work (operational, regulatory and litigation) as well as many other types of matters.
Outside of work, I play golf, fish, and read anything I can get my hands on, from mystery to history to business, science fiction or magazines.
Honors & Awards
The Best Lawyers in America©
Securities / Capital Markets Law, 2016-2020
Minnesota Super Lawyers®
(formerly Minnesota Law & Politics)
1999, 2000, 2006-2019
LexisNexis Martindale-Hubbell, Peer review ratings
Minnesota Law & Politics, 1999
Associations & Memberships
Hennepin County Bar Association
Corporate Counsel Section, Co-chair, 2010-2011, 2011-2012
Securities Law Section, President, 1998-1999