Securities Lawyer

320 North Meridian Street
Suite 612
Indianapolis, Indiana 46204
(317) 800-3297

Private practice in the field of securities law

  • form companies

  • structure and document private placements of securities, including compliance with state and federal exemptions from registration and drafting private placement memoranda

  • register public offerings of securities

  • advise companies on strategic transactions such as mergers and acquisitions

  • represent broker-dealers, registered representatives, investment advisers and issuers of securities in connection with investigations by securities regulators

  • Financial Industry Regulatory Authority Dispute Resolution Arbitrator

  • member of the American Bar Association State and Federal Regulation of Securities Committees

  • presenter, "Securities Law Issues and Answers," National Business Institute seminar "LLCs: From Formation to Special Uses," 2010-11

  • former member of the firms of Lewis Kappes and Maddox Hargett & Caruso

Standard Management Corporation, Associate Counsel, 1997-99

  • advised publicly traded company on mergers and acquisitions

  • defended class action litigation

Indiana Securities Division, Chief Counsel to the Securities Commissioner, 1994-97, Deputy Commissioner, 1992-94

  • drafted regulations and legislation, including the Uniform Limited Offering Exemption and amendments to the Indiana Securities Act

  • member of the North American Securities Administrators Association Investment Companies, International Corporation Finance and Uniform Securities Act Committees

Journalism

  • New Securities Commissioner Faces Challenges, Indianapolis Business Journal, July 15, 2015

  • Brief History of Securities Law, Blue Sky Bugle, September, 2010

  • quoted in Indianapolis Business Journal on crowdfunding in: Few Companies Embrace State's New Crowdfunding Option, August 1, 2015, Mainstream Aims to Help Nursing Home Through Crowdfunding, August 19, 2014, Bill Opens Door to Crowdfunding Investments for Business, March 19, 2014

  • quoted in in Indianapolis Business Journal on Tim Durham financial fraud case: Pliant Ohio Regulators Helped Clear Way for Durham's Fraud, November 24, 2012, Fair Finance's Past Gave Investors, Regulators False Comfort, December 26, 2009, Disclosures Key to Feds' Probe of Durham's Fair Finance, November 29, 2009, Related-Party Loans Pile up at Durham's Fair Finance, October 29, 2009

Academics

  • Indiana University Maurer School of Law, J.D. 1992

  • Colby College, magna cum laude, 1989, Phi Beta Kappa, Stephen Coburn Pepper Prize for Philosophy

  • University College London, visiting student, 1987-88

  • Indiana University Purdue University Indianapolis, M.A. in Philosophy in progress

  • Commentator, "Wrong-Right Reasoning," Dr. Peter Murphy, University of Indianapolis, Indiana Philosophical Association, November, 2017, Purdue University