Track record
International investment management firm
Represented an international investment management firm in a Series C round investment in a leading Chinese smart electric vehicle by subscribing Series C preferred shares for a total consideration of US$15,000,000.
Underwritten public and Rule 144A offerings
Underwritten public and Rule 144A offerings for emerging companies and seasoned issuers.
Corporate & commercial advice
Joint venture formations, restructurings and exits.
Acquisitions and divestures
Stock and asset acquisitions and divestitures.
Proxy contests
Proxy contests.
Formation advice
Formation of corporations, partnerships, private equity and venture capital funds, broker-dealers, investment advisers and other entities.
Computer development and supply contracts
Computer development and supply contracts.
Complex financial transactions
Analysis of 'repo', satellite transponder leases, television programming and other complex financial transactions.
Talks
- 'Cryptocurrency & the Blockchain Explained: A Panel Discussion with Attorneys: Joseph Bambara, Ridge Barker, Charles Kolstad,' New York County Lawyers Association (NYCLA) Amicus Curiae Podcast - June 10, 2023, speaker
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'FTX Was a Bump in the Road: Cryptocurrency and Digital Assets are Here to Stay,' New York County Lawyers Association (NYCLA) CLE Webinar - April 19, 2023, speaker
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'GL Crypto Quarterly Meeting - The Metaverse and The Law,' New York County Law Association - March 24, 2022, speaker
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'SPAC IPOs - Investing in SPACs,' UBS webinar - June 4, 2021, speaker
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'Withers talks: cryptocurrency | Ep 5 - The rise of decentralized finance (DeFi),' Withers webinar- April 8, 2021, speaker
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'Legal issues faced by founders, entrepreneurs, executives and wealthy family members amid the coronavirus outbreak,' Withers podcast, April 17, 2020, speaker
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'The Ever-Complex World of ICOs Regulations: How to Maximize Opportunities & Mitigate Risks,' The Knowledge Group, Webinar, November 5, 2019
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'Initial Coin Offering (ICO) Regulation in 2019: Trends, Developments, and What Lies Ahead,' The Knowledge Group, Webinar, August 6, 2019
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'Transitioning from blank check to operating company,' SPAC Conference 2018, New York, NY, February 15, 2018
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'M&A stories: practical guidance (enjoyably digested),' DealLawyers.com, Webinar, November 15, 2017
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'Decoding the impacts and implications of JOBS Act on private companies,' The Knowledge Group, Webinar, November 06, 2017
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'Recent developments at the new SEC', Don't Get Burned Proxy Seminar, New York, NY, June 17, 2009
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'Understanding the listing options: OTC, AIM, Amex, NYSE, Euronext, & NASDAQ', DealFlow Media's The SPAC Conference, New York, NY, June 4, 2008.
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Belmont Partner's 2nd Annual Alternative Public Strategies Conference, New York, NY, May 8, 2008
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'SPACs', Belmont Partners Alternative Public Strategies Conference, Washington, DC, June 1, 2007
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'Hot securities law issues for small businesses', ABA Section of Business Law Spring Meeting, Washington, DC, February 1, 2007, panelist
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'Real time disclosure: New form 8-K requirements', Westchester/Fairfield Chapter of the American Corporate Counsel Association, September 2004
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'Guidelines for companies considering delisting', online interview posted in March 2004 at www.thecorporatecounsel.net
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'Risk management for the 21st Century; Issues for the executive suite', UBS PaineWebber: CEO/CFO Symposium, April 2003
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'Equity compensation', __ American Society of Corporate Secretaries, December 2002
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'Doing the boardwalk', Potomac Officers Club, March 2002
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'Employer securities in executive compensation', Westchester/Fairfield Chapter of the American Corporate Counsel Association, October 2002