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Highlights of Recent News, Speaking Engagements & Transactions

Raisng Capital Responsibly

Recent Speaking Engagements

Blockchain Capital Summit, "SEC & IRS Regulations - What's next for Blockchain, ICOs and Tokens", Speaker, New York. May 2018.

Blockchain & Capital Market Summit, “Special Debate Panel: SEC& IRS Regulations – What’s Next for Blockchain Coins & ICO’s”, Speaker, Miami. February 2018

New York Stock Exchange, Blockchain Technology Roundtable, Speaker, New York City. February 2018

Digital Asset Investment Forum, Panel “Alternative Assets in a Blockchain Era”, Speaker, New York.  January 2018

Crittenden Real Estate Conference, “Looking to Raise Capital in Real Estate Offerings? New Reforms & Opportunities in Technology Driven Finance” Moderator/Speaker, Miami, Florida. October 2017 

Queens College Incubator, “Founders Forum: Business entity Formation and Choosing Your Board of Directors”, Speaker, New York. September 2017


National Crowdfunding Associations (Canada) Annual Conference, “International:  Raising Significant Capital?  Cross-Border Markets and Multi-Prong Strategies”. Toronto, Canada. January 2017


CrowdFundBeat New York Conference, “Crowdfunding Investing and Risk Mitigation” New York City, New York. February 2017


ABX Conference, “Real Estate Finance and Raising Capital Online”  Boston, Massachusetts, November 2016


Strafford Publishing Webinar (CLE), “Funding Platforms for Rule 506 Offerings: Navigating Broker-Dealer Registration Exemption for Investment Advisers and Issuers”  October 2016


DealFlow Crowdfunding Conference, “Legal & Regulatory Considerations in Operating a Crowdfunding Portal or Private Placement Platform for Accredited Investors”  New York City, September 2016.


Crittenden Real Estate Conference, “Real Estate Finance & Crowdfunding” Miami, Florida. September 2016


Corporate Counsel Congress “Managing the In-House Career – Required Skill Sets of a General Counsel” New York City, New York. June 2016


FundIt Crowdfunding Compliance National Conference, “Reg A: Tips for Getting Your Forms 1-A Qualified & Broker-Dealer Rule 5110 Filings Completed”.  Las Vegas, Nevada. April 2016   

Private Financing - Regulation A+, Regulation D (506c) & Hybrid Offerings

ElioMotors, Inc. $18,000,000 Raised (6,000+ investors), Regulation A+  Offering, Broker-Dealer Counsel

BrewDog, Inc.  $30,000,000 (max) Offering, Regulation A+, Broker-Dealer Counsel


Hygen Industries, Inc. $20,000,000 (max) Offering, Regulation A+, Broker-Dealer Counsel


iConsumer Corp. $1,800,000 (max) Offering, Regulation A+, Broker-Dealer Counsel


ThrillCorp Inc. $50,000,000 (max) Offering, Regulation A+, Broker-Dealer Counsel


Med-X, Inc.  $25,000,000 (max) Offering, Regulation A+, Broker-Dealer Counsel


XTI Aircraft Inc. $20,000,000 (max) Offering, Regulation A+, Broker-Dealer Counsel


CapWest LLC $40,000,000 (max) Offering, Regulation A+ Offering, Broker-Dealer Counsel   


Bayside SRF Fund I, LLC, $7,000,000 (max) Offering, Regulation D Offering (506c), Investment Fund Counsel


[Real Estate Fund], $1,000,000 (max) Offering, Regulation D (506c)/Regulation S and private fund formation, Fund Counsel

[Real Estate Fund & Investment Advisor], $7,000,000(max) Offering, Regulation D (506c)

Funding Portal Registrations & Regulatory Compliance


Completed Registration of First Non-Resident Crowdfunding Portal in the United States with the SEC and New Membership Application with the Financial Industry Regulatory Authority.


Completed Registration of California based Crowdfunding Portal under Regulation Crowdfunding Portal.


Filed Registration of First Canadian Non-Resident Funding Portal - Registration Pending.  

Formation of Dual China & US Funding Platform (Technology) 

Regulatory Advice and Guidance on FinTech and Funding Portal Transactions 

Prior Notable Public Transactions*


Quinpario Acquisition Corp. (NASDAQ: QPACU) SPAC IPO in the amount of $172,500,000, Issuer Counsel.


Box Ships Inc. (NYSE:TEU) public offering of 558,333 shares of its newly designated 9.00% Series C Cumulative Redeemable Perpetual Preferred Stock for gross proceeds of $13.4 million. Underwriter Counsel.


Soligenix, Inc. (OTCBB:SNGX) closed a $7.1 million registered offering of common stock and warrants. Underwriter Counsel.


Chart Acquisition Corp. (NASDAQ: CACGU) closed a SPAC IPO in the amount of $75,000,000.  Underwriter Counsel.

Collabrium Japan Acquisition Corporation (NASDAQ: JACQU) closed a SPAC IPO in the amount of $40,000,000. Underwriter Counsel.


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