Expert Details
Business Law and Securities Transactions
ID: 729173
California, USA
Expert represents both private and public companies, as well as investment bankers, venture capitalists, funds, and other financing companies. Her experience includes corporate governance; contract negotiations; mergers and acquisitions; private offerings; public offerings; and public company reporting with the Securities and Exchange Commission.
Not only has she earned the trust of her clients and the respect of her peers, she is also a frequent speaker and expert witness on business and securities law issues; has published numerous articles; and has been recognized as a Southern California Rising Star Attorney by Los Angeles magazine and Southern California Super Lawyers three times.
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 1994 | Degree: JD | Subject: Law | Institution: Western State University College of Law |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2002 to Present | Employer: Undisclosed | Title: Partner | Department: Corporate and Securities Department |
Responsibilities:She is a partner of the firm and the managing partner of the Corporate and Securities Department. She leads a team of associates in working with private and public companies in all of their corporate and financing transactions. Additionally, her and her team represent SEC registered broker-dealer firms and federal and state registered investment advisors in their compliance requirements and transactions. |
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| Years | Employer | Title | Department |
| Years: 2000 to 2001 | Employer: Senn Palumbo Meulemans LLP | Title: Attorney | Department: |
Responsibilities:Available upon request. |
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| Years | Employer | Title | Department |
| Years: 1995 to 2000 | Employer: Horwitz & Beam, Inc. | Title: Attorney | Department: |
Responsibilities:Available upon request. |
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Career Accomplishments
| Associations / Societies |
|---|
| Admitted to practice before the California Supreme Court, 1995 Admitted to practice before the U.S. District Court, Central District (federal court), 1995 Member, California State Bar Association, 1995 |
| Professional Appointments |
|---|
| Editor of Western State University College of Law, Law Review |
| Awards / Recognition |
|---|
| Named a Southern California Rising Star Attorney by Los Angeles magazine and Southern California Super Lawyers Three Years in a Row American Jurisprudence Award in Real Property American Jurisprudence Award in Remedies American Jurisprudence Award in Wills American Jurisprudence Award in Civil Procedure American Jurisprudence Award in Criminal Law American Jurisprudence Award in Evidence American Jurisprudence Award in Torts American Jurisprudence Award in Legal Writing American Jurisprudence Award in Contracts Graduated Salutatorian and Summa Cum Laude; Distinguished Honor Roll five times; Honor Roll three times; National Dean’s List |
Additional Experience
| Expert Witness Experience |
|---|
| 2016: Expert witness for defendants consisting of officers and directors of private company sued under personal liability theories for alleged misrepresentations and fraud in connection with private offering of securities to plaintiff investors. 2015: Expert witness for plaintiffs in $33 million case against public company regarding public company disclosure and reporting requirements to the SEC. ( Expert was deposed and testified in arbitration hearing.) 2015: Expert witness for plaintiff in adversary family law case regarding insider trading. 2013: Expert witness for U.S. Bankruptcy Trustee in $450 million bankruptcy case of public company. (Opined as to standard of care of underwriters, in performing due diligence and conducting public offering.) 2012: Expert witness for defense in civil case seeking transfer of securities and damages. 2012: Expert witness for defense in civil case regarding structuring of real estate securities transaction. ( Expert was deposed.) 2011: Expert witness for defense in $11.6 million dollar civil case re: fiduciary duties of directors and corporate formalities. ( Expert was deposed.) 2010: Expert witness for defense in $44 million civil case re: secured transactions. ( Expert was deposed. Case went to trial and Expert testified at trial.) 2009: Expert witness for plaintiffs in civil case re: interpretation of shareholder agreement. 2005: Expert witness for defense in civil case re: corporate books and records. ( Expert was deposed.) 2004: Testified before the Securities and Exchange Commission (SEC) in case re: sale of unregistered securities, fraud, and misrepresentation. (Eventually turned into criminal proceeding.) 2003: Testified before the Securities and Exchange Commission (SEC) in case re: market manipulation. 2000: Testified in Federal Court in Los Angeles on behalf of defending stockbroker in trade reporting case by the Securities and Exchange Commission (SEC) vs. the broker. |
| Training / Seminars |
|---|
| Expert has presented on small business and entrepreneurship for a college audience. She has spoken about securities law in multiple instances. She has also served as a panelist regarding the real estate market. |
Fields of Expertise
Securities and Exchange Commission compliance, Securities and Exchange Commission regulation, business, business analysis, business ethics, business management, corporate compliance, debt, equity, Financial Industry Regulatory Authority, hedge fund, investment, investment banking, mergers and acquisitions, mutual fund, private equity fund, project finance, promissory note, real estate finance, securities arbitration, securities clearing, securities dispute, securities finance, securities fraud, securities lending, securities marketing, securities mediation, securities regulation, securities settlement, stock option, trade finance, business securities, corporate finance, corporate governance, corporate law, corporate responsibility, finance, initial public offering, joint venture, merger, commercial law, California regulation