New York Securities Lawyer
Capital markets and securities counsel for companies, founders, and investors — offerings, disclosure, governance, and the disputes that follow when deals go wrong.
What I handle
I advise on securities and capital markets matters across the life of a company: structuring and documenting private placements under Regulation D, preparing offering materials and subscription documents, disclosure questions for public and pre-public companies, SPAC formation and de-SPAC transactions, secondary sales, and ongoing reporting and governance obligations. When a transaction turns contentious — rescission demands, disclosure claims, disputes among investors and issuers — the same background carries into securities-related litigation and arbitration.
Who I represent
Issuers raising capital, founders and management teams, boards and special committees, family offices and individual investors, and funds participating in private transactions. I also act as securities counsel alongside other lawyers — many of my matters arrive as referrals from attorneys who need a New York securities specialist on a discrete question.
Typical matters
Regulation D offerings (Rule 506(b) and 506(c)) and the diligence around accredited-investor verification; convertible notes and SAFEs; private placement memoranda; blue sky filings; SPAC and de-SPAC work; disclosure review before a raise or sale; cap table and instrument cleanup before institutional money arrives; and disputes over subscription agreements, side letters, and investor rights.
New York issues
New York sits at the center of American capital formation, and New York law governs a large share of financing documents by choice. That brings New York-specific questions: the Martin Act's unusually broad reach, New York's approach to contractual disclaimers and reliance, forum and jurisdiction clauses that land disputes in New York courts, and the practical realities of litigating financial cases in the Commercial Division.
How the process works
Every engagement starts with a free inquiry — describe the situation through the site and I review it personally, typically within one business day. After a conflicts check and a written engagement letter defining scope and fees, work begins. Offerings are typically flat-fee or capped; disputes are scoped candidly at the outset, including whether the economics justify the fight.
Why clients hire me
Columbia Law–trained, with experience at leading global law firms, and admitted in New York. Clients work with me directly — not a leverage pyramid — and get large-firm technical quality with straight answers about risk, cost, and the realistic range of outcomes. I build my own legal-research tools, so the work moves faster and more of the fee goes to judgment rather than mechanics.
Common questions
Do you handle both the offering and any later dispute?
Yes. Transaction work and securities-related disputes draw on the same body of law, and continuity of counsel matters — the lawyer who documented the raise understands it best when questions come later.
What does a private offering cost?
Most Regulation D offerings are handled on a flat or capped fee agreed before work begins. The exact number depends on the instrument, the number of closings, and the state filings involved.
I received a demand letter about an investment — what should I do?
Do not respond on your own. Deadlines and early statements matter in securities disputes. Send the letter through the contact form and I will review it personally.