Corporate & Securities Attorney
"Reliable! He steered me through a complex transaction to attain the best outcome."
I hold an LL.M. from Georgetown Law in Securities and Financial Regulation and a J.D. from Albany Law School with honors in Business Law.
My experience includes private corporate law practice and government service with the U.S. Securities and Exchange Commission in the Division of… read more Corporation Finance, Office of Small Business Policy.
- Advisory Agreement
- Business Licenses & Industry Regulations
- Buyout Agreement
- Corporate Dissolution
- Corporate Formation
- Corporate Restructure
- Delaware Incorporation
- Founders Agreement
- Franchise Agreement
- Franchise Disclosure Document
- Franchise Formation
- Joint Venture Formation
- Operating Agreement
- Partnership Formation
- Shareholder Agreement
- Other Business Formation Matter
- Outside General Counsel
- Commercial Loan
- Convertible Note
- Fund Formation
- SAFE Document
- SEC Documents
- Securities Regulations
- Seed Financing
- Series Financing
- Stock Purchase Agreement
- Subscription Agreement
- Term Sheet
- Other Securities & Finance Matter
"Eric was very helpful and offered advice not only on the LLC that I was forming but other facets involved with investment property ownership."
Posted on Jan 27, 2017
"Would gladly work with Eric again. Extremely knowledgeable in the startup space, with expertise in VC and crowdfunding. A pleasure to work with him and his team."
Posted on Jan 4, 2017
"Great job. Knowledgeable about startups and incorporation."
Posted on Jan 3, 2017
"Fantastic experience working with Eric and his team!"
Posted on Dec 5, 2016
"Eric was a great help in navigating a first-time contract negotiation. He helped us make sure everything was in order and left us with confidence as we moved forward with a new vendor relationship."
Posted on Nov 21, 2016
"Fantastic work. Very timely and professional. "
Posted on Nov 4, 2016
The Wagoner Firm PLLC
Jun 2015 - Present
- Entrepreneurial attorney working with business clients of all kinds.
- Senior attorney within the firm's Emerging Ventures practice group working with entrepreneurs, startup companies, emerging growth companies, early stage investors, angel / venture capital firms and economic development groups.
- Securities attorney working with RIAs, RICs, B/Ds and issuers.
Leander Law Office
Sep 2014 - Jul 2015
- Directly advise and counsel clients on corporate and transactional matters.
- Term-sheet analysis / drafting, securities law, and document drafting for non-public offerings, venture / seed capital, private equity and leveraged buyout transactions.
- Guidance, counsel, strategy and document drafting for early stage company investment.
- New York and Delaware entity formation.
Corporate Compliance Officer - Core Banking Group
Jun 2014 - Sep 2014
- Research, analyze and evaluate state and federal statutes and regulations applicable to Business Banking and Commercial Lending business units.
- Collaborate with business units to establish, implement and/or ensure compliance with policies, procedures and controls.
Couch White, LLP
Jun 2012 - May 2014
- Directly advise and counsel clients on corporate and transactional matters from both business and legal perspectives, review and draft governance documents contracts and other items.
- Review, analyze and draft transaction documents for asset sales, equity buy-outs / buy-ins and facilitate, coordinate and close transactions.
- New York and Delaware entity formation / early stage investment.
U.S. Securities and Exchange Commission
Attorney Law Extern (LSOP)
Aug 2011 - May 2012
Division of Corporation Finance - Office of Small Business Policy
- Draft Small Business Compliance Guide for revised Accredited Investor net-worth standard.
- Revise Small Business Compliance Guide for "Smaller Reporting Companies."
- Assist in revision of "Q&A: Small Business and the SEC."
- Draft action memo for Dodd-Frank "Bad Actors" disqualification under Rule 506 of Reg D.
Albany Law School Clinic & Justice Center - Securities Arbitration Clinic
Aug 2010 - Dec 2010
- Represented clients in FINRA arbitration proceedings, and other civil proceedings under student practice order.
- Trained in fact investigation, witness interviewing, case assessment, preparing pleadings, discovery and advocacy.
- Drafted and filed documents for judgment by confession.
- Studied statutes, rules and regulations, governing broker-dealers and registered representatives.
The Affinity Group, LLC
Financial Planning Intern
Mar 2010 - Sep 2010
- Evaluated complex financial positions to identify inefficiencies, improvements, and actionable opportunities to strengthen client financial health.
- Crafted analytical illustrations and presentations; substantially participated in client presentations.
- Assisted in crafting comprehensive strategies regarding investments, taxes, and succession and business planning.
New York State Department of Law, Office of the Attorney General
Law Intern - Real Property Bureau, Litigation Department
Jun 2009 - Sep 2009
- Conducted legal research and drafted documents including affidavits, motions, and orders.
- Drafted memorandum of law for summary judgment motion regarding deed construction in an appropriation case.
- Facilitated collection of surplus funds from foreclosure sales pursuant to State liens on real property.
Wilber National Bank
BSA / AML Clerk
May 2006 - Jun 2008
Monitored and analyzed high-risk customer accounts for unusual/suspicious activity pursuant to USA PATRIOT Act, Bank Secrecy Act (BSA) and internal Anti-Money Laundering (AML) program.
- Transitioned BSA compliance program from paper-based to digital by developing a MS Excel-based process.
- Provided support to audit department regarding BSA/AML related issues during in-house and OCC audits.