Securities, Equity and Debt Raises | Corporate and Start-Up Counsel | Crowdfunding | Intellectual Property
"He worked tirelessly, quickly, and had a lengthy document ready for me almost instantly."
Represented former CFO of Lehman Brothers in multi-billion dollar securities fraud litigation.
General counsel to numerous start-ups and multinational companies on corporate, business, formation, founder, IT, MSAs, SOWs, IP, manufacturing, licensing, employment, equity and debt, issues.
Advise on private equity, debt and equity financing, and hedge fund compliance issues under federal and state securities laws, and in connection with SEC, FINRA, CFTC, DOJ and investigations.
- 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
- Affiliate Agreement
- Business Consulting Agreement
- Distribution Agreement
- Equipment Lease
- Licensing Agreement
- Loan Agreement
- Manufacturing Agreement
- Marketing Agreement
- Non-Disclosure Agreement (Commercial)
- Profit Share Agreement
- Publishing Agreement
- Release of Liability
- SaaS Agreement
- Sales Agreement
- Service Agreement
- Terms of Service
- User Agreement
- Other Commercial Contract Matter
- 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
"Rich provides deep insights and actionable advice."
"Richard was great to work with and available via whatsapp and email."
"I had a great experience working with Rich. He made the incorporation process very seamless."
"I worked with Richard in putting together a new operating agreement and promissory notes for my organization. He was fantastic to work with. Even when the process got delayed (because of us, not him), he stayed patient and worked with us. I would recommend working with him."
"Richard was helpful, knowledgeable, and promptly provided the legal work requested. However, and perhaps this is an office organization issue, we received invoices about 6 months too late - hence the ding on response times. But for the actual legal work, Richard was very response... just needs to work on clarity on pricing + prompt invoicing."
"Amazing Gave him last min work at 6pm on a friday night and got done in 3 hours !!"
- Advised investors in Uber's $40 billion Series E investment round.
- Defended private equity fund against $100 million investor fraud claims.
- Counsel multi-national pharmacovigilance company on compliance issues.
- Counsel numerous start-ups and entrepreneurs on business issues.
- Counsel YouTube MCNS on licensing, distribution, copyright and other related issues.
Finn Dixon & Herling LLP
- Litigated over 100 cases across the country.
- Advised hedge funds, private equity funds and other pooling arrangements on investment issues.
- Debt and equity financing, including convertible notes and preferred stock
- Business combinations.
- Employment law, including before the Connecticut Department of Labor and EEOC.
- SEC, FINRA, NFA, CFTC and DOJ investigations.
- Insider trading