Adam S. Tracy Attorney Profile on UpCounsel
Adam S. Tracy

Adam S. Tracy

The Entrepreneur's Accelerator

Wheaton
Illinois
Licensed in
IL
DePaul University College of Law
5.0 5
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 1 reviews
About
A former competitive rugby player, serial entrepreneur and attorney, Adam S. Tracy counsels individuals and business in a wide range of corporate, corporate finance, tax and securities matter. Having founded his own firm, the Securities Compliance Group in 2005, Adam focuses his practice on advising dynamic, growth-orientated organization. His range of transactional experience has included Initial Public Offerings, reverse mergers and an array of capital financings.
12
Years
experience

Representative Clients

Practice Areas

Client Reviews

5.0
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 1 reviews
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Adam has served as my public company's in house counsel for five years and I have been extremely pleased. He has had us covered on all issues that have come up including our public offering. I continue to recommend him to associates of mine."

Long Term Corporate/ Securities Client
Posted on Mar 31, 2015

Work History

Pacifix Financial, LLC

Managing Member

Jun 2012 - Present

Pacifix Financial is a leading provider of investor relations and marketing solutions for AIM, Frankfurt, NASDAQ, Pink Sheet, OTCBB, OTCQX and TSX listed-companies. Our team is comprised of skilled, experienced attorneys, capital markets consultants and investor relations professionals. At Pacifix Financial, we strive to provide turn-key, effective solutions to clients at reasonable cost.

Jun 2012 - Present

Cathedral Stock Transfer, LLC

Managing Member

Oct 2007 - Present

As the leading shareholder services firm for the OTCBB and Pink Sheet community, Cathedral Stock Transfer offers a cost-effective, innovative array of services including transfer agent, proxy solicitation, information agent, depositary and corporate governance.Cathedral Stock Transfer offers streamlined Transfer Agent solutions as an SEC-registered, DWAC/FAST eligible entity.

Oct 2007 - Present

Securities Compliance Group

Founder/Managing Attorney

Nov 2005 - Present

Securities Compliance Group is multi-disciplinary law firm founded in 2005 by Adam S. Tracy, an experienced attorney and capital markets consultant. The firm is a leading provider of corporate, corporate finance and securities legal services to microcap public companies and pre-IPO issuers. Securities Compliance Group has advised 100's of public issuers listed on the NASDAQ, OTC and Pink Sheets marketplaces.

Nov 2005 - Present

Ecology Coatings, Inc. (OTCBB: ECOC)

Vice President & General Counsel

Jun 2006 - Aug 2008

Securities, Corporate, Commercial Litigation, Investor Relations, Public Relations

Jun 2006 - Aug 2008

Rathje Woodward LLC

Associate Attorney

Oct 2005 - Jun 2006

Securities, Securities Litigation, Corporate, Mergers and Acquisitions, Zoning, Bankruptcy, Bankruptcy Litigation, Real Estate Litigation

Oct 2005 - Jun 2006

British Petroleum PLC

Gasoline/Feedstock Trader

May 1999 - Aug 2004

Responsible for Midwest region unleaded gasoline/feedstock physical trading

May 1999 - Aug 2004

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