Small & Mid Cap, Large Public & Private Companies / 1933 and 134 Act - Public Company Compliance & Governance / Start-Up & PE Portfolio Company Advisor/ Global M&A/ In-House Legal Executive/ Board Member & Advisor / Commodities A senior legal, public company compliance, licensing, investment , finance, digital commerce, retail, brand, real estate, and risk management executive with years of success as an in-house business partner across a global platform, diverse range of industries & cross border transactions. Currently focuses on (i) general counsel, (ii) contracts, transaction, start-up & M&A , (iii) public & private company compliance & governance, (iv) consumer products & brands, digital commerce, retail, & entertainment (v) business formation, growth, investment and development, and (vi) diversity, inclusion and gender equity, consulting services. Area of practice include - -Digital Commerce - Retail-Wholesale / CPG - Consumer Products / Tech / M&A / Manufacturing / Sports, Music & Entertainment/ NFTs / Fashion - Apparel - Footwear / Food & Beverage / Brand Protection / Real Estate / Leasing / Global Investment, Finance & Credit/ Aerospace / Education Services / Commodities / Lifestyle - Influencer Brands -DEI / Employment Policies, Standards & Compliance & Organizational Development - Company Global Governance, Compliance & Privacy Advisor / Global Project Management & Development / SEC - NYSE/NASDAQ - 1933 - 1934 Act compliance - ESG-Sustainability Current Member - Advisory Board - Strategy Risk Past Member - Advisory Board - TJ Martell - East Coast Past Member - Board of Directors - Omnidawn Publishing Board of Directors Candidate / COO -CLO Candidate
General Counsel & Business Development Consulting / Major Private Equity Firm Portfolio Company Public Company Compliance project management ( 1933- 1934 Act / Nasdaq / 10-K / proxy & annual meeting / Diversity, Inclusion & Gender Equity Consulting / Consulted for Major Professional Sports franchise & start-up league & other clients/ handled celebrity & talent agreements / non-competes, venue, sponsorship /mobile app/ game development & SaaS agreements, governance, & related operations issues / Review & revision of private equity transaction NDAs/drafting start-up investor / capital agreements / Advise on DEI issues, policies and compliance CONSULTING ATTORNEY – GE - CONNECTICUT - Consulting Attorney in the Headquarters Corporate & Securities Legal Group / Annual Meeting Support / Support for Listing on London / Paris Exchanges / Officer & Director Indemnity / Handled Closing for $80 million State Bond Issue CONSULTING ATTORNEY - JONES APPAREL GROUP / NINE WEST - NY - Consulting Attorney Handling All functions of VP, Deputy General Counsel in Charge of Corporate - Securities & Governance & In-House Corporate Generalist / SEC Compliance / Managed Major Corporate Restructuring In-House / General Advisory Role - Retail / Real Estate / Licensing for Public $6 Billion Apparel & Footwear Powerhouse VP, GENERAL COUNSEL - KAPLAN INC. - NYC - Managed All Legal Projects & Acquisition Team for an Education Services Provider & Publisher During a Period When the Organization Grew Three-Fold to Almost $1 Billion Revenue / Subsidiary of The Washington Post Company / Developed Restructuring of Legal Function / Managed Major Employment Litigation / Marketing Policy Review Show less
General Counsel for Global Operating Company for a $10 Billion / Year Global Privately Held Commodity Trader - Copper / Aluminum / Precious Metals / Iron Ore / Steel / Cobalt / Heating Oil - Managed Legal Functions & Compliance / Supported Growth of Merchant Banking & Trade & Project Finance Activities Worldwide / Handled Trading Contracts / Supported Credit Agreements & Documentation Globally / Offtake, Mining, Refining & Pool Account, Broker Agreements, Trade Insurance, Joint Venture, Supply Chain, Security & Credit documentation, broker dealer account , NDA, LOIs & Term Sheets, representative & consulting, agreements and import/export logistics agreements and compliance – for US & developed & emerging markets / Supported Acquisition, Investment & Finance Activities Globally Show less
Chief Legal Officer & Corporate Secretary for $300 Million Year Global Instrument & Audio Tech Product Manufacturer & Developer - Supplier & Entertainment Industry Icon/ Supported Board of Directors / Member of Acquisition Team / Provided support for Video Game / Product Licensing / Retail / ECommerce / Digital - Audio Tech Product Development / Real Estate Functions / Worked With Projects & Artists Across the Music Industry/ Handled Talent, Endorsement & Event Venue Agreements / Managed Infringement & Brand Protection Claims / Supported Ant-Counterfeiting Team / Managed IP -Trademarks/ patents / copyrights / Managed Company Governance Initiatives / Financing & Credit Support & Management / Support for Employment Policies and Standards & HR / Advertising - Advertising., Pricing, Marketing Review & Compliance / Litigation & Claim Management Show less
Chief Legal Officer/ Also Head of Real Estate ( 2 years) for $900 Million Public Vertically Integrated Manufacturer / Wholesaler / Retailer of Home Furnishings / Fashion - Brick & Mortar & Digital Commerce / Real Estate Leases & Purchase / Sales / IP - Trademarks & Copyright / Product Development Support / Supply Chain & Distribution, Manufacturing, Dealer Relations & Acquisitions - Licensing / Advertising Review & Compliance / Product Quality & Manufacturing Standards Support / Corporate Secretary for NYSE Listed company - with support for Board of Directors, Shareholder and Investor Relations, SEC and NYSE Compliance / Managed Company Governance & Compliance Programs / HR Support Show less
In-House Generalist - Commercial & International - for $1 Billion Year Aerospace Subsidiary of Textron - Handled All Commercial Work - and all Non-US Government Work Globally - Joint Ventures / Product Development Support / Supply, Support , Outsourcing / Research & Development Agreements, Supply Chain & International Distribution, Manufacturing, Anti-Corruption & Compliance Training / Product Advertising / Warranty / Litigation and Employment Support
Division Counsel Providing Legal Support for all Non-Confection Brands of Global Food & Beverage Manufacturer & Distributor Headquartered in London ( Schweppes / Canada Dry / Sunkist / Dr. Pepper / Motts / Rose's / Clamato / Holland House Brands) Litigation Management / Member of Acquisition Team - all North American Support for Schweppes Brand and Global Support for All Other Brands / Labeling, Marketing Program & Advertising Review / Product Quality Compliance / Support for Insurance / Claims / Risk Management / HR & Employment / IP - Trademarks & Copyrights /Franchise & Distribution Counseling Show less