Peter Lindley, Esq.
Peter P. Lindley is a Florida attorney with a diverse professional background in corporate law and governance, federal and state securities law, business taxation, and real property transactions and title insurance. Mr. Lindley has structured negotiated and documented large asset and equity conveyance and finance transactions, including treatment of associated federal and state regulatory laws […]
Craig David Linder, Esq.
Craig D. Linder, Esq. is an experienced general corporate lawyer with expertise in securities law, corporate governance and mergers and acquisitions matters. Prior to joining the firm, Mr. Linder headed the Securities Finance & Compliance practice group at Rasco Klock Perez & Nieto P.L., a prestigious full-service law firm, after working at various large international […]
Chad Friend, Esq.
Mr. Friend completed his undergraduate work at the University of Central Florida, where he majored in legal studies. He later interned at a private law firm and received his J.D. from Nova Southeastern University Law School, Cum Laude. Mr. Friend has earned CALI High Grade Awards in Securities Regulation, Corporate Finance, Antitrust Law, Civil Pre-Trial […]
John Cacomanolis, Esq.
John Cacomanolis is an experienced general commercial lawyer, with an extensive background in mergers and acquisitions (having completed over 400 individual M&A transactions), joint ventures (ranging in size from a few million to over $25 billion), securities compliance, capital-raising, shareholder and board compliance, private equity firm formations and operations, and both public and private company operations.
FINRA AND THE MARKETPLACE In recent years the Financial Industry Regulatory Authority (“FINRA”) has evolved from a rather unobtrusive SRO (Self-Regulatory Organization) into a dominant and pervasive securities market gatekeeper with sweeping authority. FINRA currently monitors and regulates the trading of more than 5,000 securities and employs a staff in excess of 3,400 individuals. FINRA is […]
NYSE Market Compliance
General Information and Background on NYSE MKT The NYSE MKT is the small- and micro-cap exchange level of the NYSE suite of marketplaces. The NYSE MKT was formerly the separate American Stock Exchange (AMEX). In 2008, the NYSE Euronext purchased the AMEX and in 2009 renamed the exchange the NYSE Amex Equities. In 2012 the exchange was […]
NASDAQ Market Compliance
The NASDAQ Stock Market The NASDAQ Stock Market currently has three tiers of listed companies: (1) The NASDAQ Global Select Market, (2) The NASDAQ Global Market and (3) The NASDAQ Capital Market. Each tier has increasingly higher listing standards, with the NASDAQ Global Select Market having the highest initial listing standards and the NASDAQ Capital Markets being […]
OTC Market Compliance
Over the past few years, the Over the Counter Market has developed several tiers of quotation with increasingly higher reporting requirements (pink sheets, OTCQB and OTCQX); the separately run OTCBB has been sold to a private entity and now removes any Issuer’s securities that do not meet frequent trading guidelines; the SRO governing over the […]
Regulation A+ IPO
Introduction A recent article in the Wall Street Journal by Ruth Simon revealed that, “Roughly a year after the passage of new rules making it easier for fledgling businesses to tap U.S. capital markets, just a handful of them have succeeded in doing so. A Phoenix-based startup that makes three-wheeled vehicles raised roughly $17 million […]
Private Placement Offerings
All offers or sales of securities must either be registered or qualify for an exemption from registration. Sections 3 and 4 of the Securities Act of 1933, as amended (“Securities Act”) set forth the exemptions available for certain transactions and certain offerings. Generally, the exemptions available are non-exclusive. In other words the sale of securities […]