How Richard Helps Clients
Rich concentrates his practice on corporate and securities matters, having advised clients in a broad range of industries, including pharmaceuticals, nutritional supplements, medical device, personal care, financial services, retail, REITs, marketing, media and entertainment, beverage and more.
Rich has extensive experience in capital markets, corporate finance, mergers and acquisitions, and general corporate representation. He has counseled domestic and foreign private issuers, underwriters and broker-dealers as well as directors, executive officers, in-house counsel and entrepreneurs on a wide variety of matters, including:
- Public and private equity and debt securities offerings, including underwritten, at-the-market, registered direct, shelf takedown, Rule 144A and Regulation D and other exempt offerings
- Corporate governance
- SEC filings and compliance and securities exchange rules
- Board committee counseling
- Special Purpose Acquisition Company (SPAC) and business combination matters
- Proxy statements and consent solicitations
- Merger, acquisition, joint venture and strategic alliance transactions
- Formation of start-up companies
- Corporate restructuring
- Leveraged transactions
- Executive employment, shareholder and other agreements
Rich has also represented clients in the biopharma space on numerous commercial, compliance and other matters. As part of his foreign experience, Rich has counseled clients on U.S. securities law requirements impacting Canadian foreign private issuer capital markets transactions, as well as other U.S. corporate law issues.
What Clients Can Expect
Rich is a trusted advisor whose decades of experience in both M&A and securities matters have enabled him to understand key client concerns with a view toward developing practical, cost-effective solutions while at the same time identifying and resolving complex issues for clients that may not otherwise be readily apparent. He ensures his clients are protected at every step of the transaction regardless of how quickly a deal is moving. Rich prides himself on always being available to clients to review and address issues and developments, usually returning calls within an hour when possible.
My clients’ issues and concerns become my issues and concerns, and I will do all I can to address them as quickly as I possibly can to facilitate an orderly and manageable process.
Outside the Office
When not working, Rich is often involved in various home improvement and other projects, drawing upon his work years ago in his family’s marble, terrazzo and concrete business.
Columbia Law School, J.D., 1982
University of Pennsylvania, B.S., 1979, summa cum laude
- New York
New York State Bar Association
Extensive involvement in United Way campaigns