George S. Georgiades, Esq.
George S. Georgiades focuses his practice on capital formation transactions and providing regulatory compliance advice for broker-dealers, investment advisors and crowdfunding portals. He has extensive experience in structuring, negotiating and consummating initial and other public and private securities offerings with a particular focus on technology driven finance, including Crowdfunding, Regulation A+ and Initial Coin Offerings.
In the securities area, Mr. Georgiades is known for his early involvement in the establishment of new securities programs, such as Crowdfunding and Regulation A+. He represents several leading venture-backed funding platforms and crowdfunding portals (both US and non-resident) from inception as well as other FinTech service providers. He routinely advises companies on registration requirements under the investment companies, investment advisor and broker-dealer regulations as well as best practices in structuring operations to comply with exemptions from registration.
As a former regulatory counsel and compliance officer to both a registered broker-dealer and multi-billion dollar registered investment advisor, he routinely advises such firms on regulatory compliance matters ranging from updating by state and federal regulators. He works with new broker-dealers on SEC registration, development of written supervisory procedures, formation of Alternative-Trading-Systems (ATS), FINRA examinations (including FINRA 8210 responses), and development of broker-dealer funding platforms. He routinely represents investment banks in their role as underwriter or placement agent.
In the corporate area, Mr. Georgiades represents companies across many industry sectors with respect to formation, shareholder/founder agreements, corporate governance and restructurings. He works with companies on a variety of M&A, joint ventures and other strategic agreements. His clients include investment funds, startup firms and publicly traded companies across a wide variety of industries.
In-house experience includes serving as Regulatory Counsel to Garrison Investment Group LP, a leading middle market credit and asset based investment advisor ($4.2 billion AUM) and Associate Counsel and Compliance Officer at Maxim Group LLC, a FINRA registered broker-dealer. Mr. Georgiades has also served as outside general counsel to select clients, including FinTech and a registered transfer agent, managing legal risk and obligations. He holds a Master of Laws (LL.M/Hons) in Banking, Corporate and Finance Law from Fordham School of Law, where he also studied Economics at the undergraduate level, and Bachelors of Laws (LL.B) in Commercial Law from University of Westminster School of Law in London, United Kingdom. He is admitted to practice law in the State of New York.
Emily A. Georgiades, Esq.
Emily A. Georgiades is an experienced corporate and commercial lawyer who works with SME's and high net worth clients worldwide in all aspects of their business endeavors. She specializes in securities regulations.
Emily's international experience was gained working in Legal 500 law firms in New York City and Cyprus, New York State Courts, at the International Tribunal for the Law of the Sea in Hamburg, and as in-house Deputy General Counsel.
She is a former New York City Judge and has served as the Secretary and Vice President of the Executive Board of the New York State of Administrative Law Judges Association. Emily continues to serve as a FINRA Arbitrator in the United States.
Emily has published numerous articles in prestigious journals and magazines such as the New York State Bar Journal, the AAA Dispute Resolution Journal, Ocean & Coastal Law Journal, Shipping International Monthly Review, Chambers & Partners, and Gold News. She has also spoken at conferences worldwide on business and finance law.
She holds a Master of Laws (LL.M.) in Banking, Corporate and Finance Law from Fordham School of Law, in New York, a Bachelors of Arts (B.A.) in Economics and Business Administration from Fordham University in New York, a Master of Arts (M.A.) from Durham University in the United Kingdom, and a PgDL and BVC from The College of Law in London, United Kingdom.
She is admitted to practice law in the State of New York, Cyprus and a Barrister of England & Wales from The Honourable Society of Lincoln's Inn.