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
"Richard and his team drafted a comprehensive operating agreement with member restriction agreement and vesting provisions for an international enterprise. They were incredibly responsive and made no mistakes! We would highly recommend using his services for any corporate matters."
"Experienced, clearly, but I really appreciated his responsiveness. Straight shooter."
"Richard was very knowledgeable of the matter at hand and provided his insights and recommendations right away. This gave me comfort in moving forward with the intended plan."
"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."
- 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