Due to the coronavirus outbreak, we will be hosting live webinars in place of live seminars for the foreseeable future. We will send an email as soon as live seminars are up and running again. We appreciate your patience.
For our CPA customers, note that live webinar credits are equivalent to live seminar credits and will satisfy your credit requirements.
For our attorney customers, individual state legal education requirements will vary. As of now, it appears that the PACLE Board will review attorney compliance on an individual basis if you are unable to find live seminar credits prior to your deadline. If you require more detail, please reach out to the Legal Education Board in your state.
Foundations of Raising Capital
When a company of any size raises capital, it must strike a perfect balance between protecting itself and enticing investment. This course will provide attorneys with relevant tools and practical advice on how to master this balancing act. This program is taught by experienced attorneys and a financial advisor, who will provide vital information on the business side of a capital raise.
Learning Objectives:
- Identify some of the tools used in capital raises and shareholder litigation
- Discuss the key investor issues that end up in court
- Navigate the flow of capital raises and shareholder litigation
- Avoid pitfalls in representing your client (investor or investment)
- Spot potentially dangerous issues before they become the subject of litigation
| When: |
Friday, April 30th, 2021. 10:00 AM to 2:30 PM EST (Lunch from 12-12:30 EST) |
| Where: |
Your home or office |
| Speaker: |
Dean Silverman, Todd Kulkin, ESQ, Paul Share, ESQ, & Chris Warren, ESQ |
| CPE Credits: |
2 Finance & 2 Specialized Knowledge CPE |
| CLE Credits: |
4 Substantive CLE |
| Program Level: |
Basic |
| Prerequisites: |
None |
| Advanced Preparation: |
None |
| Delivery Method: |
Group Internet-Based |
| Price: |
FREE for ALA Members / $49 for Non-Members |
Presenters:
Dean Silverman
Dean Silverman has worked within the financial arena for 26 years. He graduated from the University of Hartford with a BS/BA in Economics and Finance, and worked for 6 years on the trading side with hedge funds and options traders. When the Dot Com bubble burst, Mr. Silverman brought his experience to Guardian for 15 years, focusing on macroeconomic financial planning. At Guardian, he incorporated risk mitigation and investment strategies to produce higher long-term income streams. His focus there was on investments, insurance and comprehensive planning. For the last 5 years, Mr. Silverman has been with MassMutual Financial Group, taking concepts he developed throughout his career and creating an elite Wall Street Unit at the company.
Mr. Silverman is now a Senior Managing Associate, specializing in the development, training and mentoring of new associates, both those fresh from college and those with more experience who are engaged in a change of career. Mr. Silverman is Series 7 and Securities licensed in a variety of states. He offers a total financial needs analysis, using a network of experienced professionals with expertise in retirement analysis, estate strategies, employee benefit and retention services, business continuation strategies and trust services
Todd Kulkin, ESQ
Todd P. Kulkin practices in the areas of corporate, securities, and not-for-profit law. He is risk management and strategy focused, having graduated with a concentration in Financial Transactions from University at Buffalo (SUNY) Law School in the aftermath of the 2008 financial crisis.
Todd began his legal career representing and advising Fortune 500 companies at one of the largest law firms in the US. In 2012, he departed that firm to open his own practice and now serves as outsourced general counsel for start-up companies, corporations, and not-for-profit organizations in the United States and abroad.
He has been honored by the Reuters publication Superlawyers as a “Rising Star” in business law for the New York Metro Area from 2014-2020. Only 2.5% of attorneys under the age of 40, or having been in practice less than 10 years, in the New York Metro Area are given this distinguished honor.
A consummate educator, Todd is dedicated to empowering his clients with the knowledge needed to accelerate growth and mitigate risk. He regularly teaches other attorneys about corporate, securities, and not-for-profit legal issues and is often contacted by those attorneys for advice.
Paul Share, ESQ
Paul Share began legal practice in 1973, specializing in corporate and securities law. He also has extensive experience in loan agreements, the formation, acquisition and sale of businesses, and the negotiating and drafting of a wide variety of contracts, including employment agreements, shareholder agreements, leasing agreements, and software development and licensing agreements and the representations of start-ups and high-tech companies.
Between 1977 and 1986, he worked extensively within the consulting and computer leasing subsidiaries of a large publicly-traded conglomerate before joining a Houston-based firm in 1986, where he specialized in developing his transactional practice and representing clients in general commercial litigation.
Paul headed that firm’s New York office until 1991, when he decided to devote much of his practice to start-ups and small businesses in the software and high tech fields. He has found that practicing in small firms allows him to provide clients with a level of affordability and personal attention that big firms cannot offer.
Chris Warren, ESQ
Christopher has broad experience representing individual public investors with claims against stockbrokers and their broker-dealers in FINRA arbitration, as well as defending brokers and registered financial advisors in regulatory enforcement actions and investigations by the SEC and FINRA. Typical investor matters include broker misconduct, securities fraud, negligence, breach of fiduciary duty, unsuitability claims and unauthorized trading. Typical regulatory defense matters include FINRA OTR representation, FINRA 8210 compliance, AWC settlement negotiations, U4 and U5 expungement, unpaid bonus claims, employee forgivable loan (EFL) and promissory note defense.
Christopher also provides effective and creative business solutions to commercial litigation matters, including business torts, breach of contract, business divorce, breach of fiduciary duty claims, accounting actions, commercial contract litigation, construction litigation, and real estate broker litigation. Typical matters include minority shareholders seeking a proper accounting in breach of fiduciary duty claims, dissolution or “business divorce” proceedings, real-estate brokers recovering unpaid sales commissions, partnership disputes in closely held businesses, fraudulent inducement and material breach of contract, and private placement memorandum (PPM) litigation.
Before earning his J.D., Christopher was a principal in several successful real estate businesses and earned a securities license with the National Association of Securities Dealers, Inc. (NASD), the predecessor of the Financial Industry Regulatory Authority, Inc. (FINRA). Chris’s industry and business background provide him with practical experience and valuable insight into these sectors. With decades of background in financial services, securities, real-estate, and business, Christopher can create tailored and effective strategies to service his clients with innovative sophistication, assess options, and advise on a course of conduct consistent with the client’s goals and business strategies.
All investors, regardless of their wealth or size of their loss, deserve the right to be treated honestly in their investments and business dealings and have their claims handled professionally. All financial services professionals have the right to be treated fairly by their employers and have counsel to assist them in defense of any regulatory inquiry. Every client’s circumstances are unique. As a result, we tailor our approach individually to them to best fit ever matter.
About CPE/CLE:
* The ALA partners with McDevitt and Kline LLC for certificate issuance. Live, internet-based courses are approved as Distance Learning courses by the PA Supreme Court CLE Board. For additional information, please visit http://www.pacle.org/. Check with your State CLE Board for rules pertaining to live webcasts. These rules differ from state to state. For example, PA attorneys may earn up to 6 CLE credits per compliance period via live webcasts (or 6 out of 12 credits per year); NJ and DE attorneys may earn up to 12 CLE credits per compliance period via live webcasts (or 12 out of 24 credits per two years).
McDevitt & Kline, LLC is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site:www.nasba.org.
