Rakesh is a technology and securities lawyer, with extensive experience in complex technology and outsourcing deals, public securities issuances (including initial public offerings) and public company reporting requirements, private- and public-company mergers and acquisitions, and other corporate and transactional matters. He is currently co-chair of the firm’s fintech practice and formerly co-chair of the firm’s institutional banking practice. Rakesh is actively involved in diversity and inclusion efforts within the firm and the legal community, including through his work as a founding member and current board member of the Charlotte Asian Pacific American Bar Association and as chair of the firm’s Asian Lawyers Network. Rakesh formerly served as chair of the firm’s Asian Lawyers Network.
The technology, vendor and supply chain transactions portion of his practice focuses on representing companies of all sizes and industries, both on the vendor and customer sides, with respect to transformative information technology (ITO) and business process outsourcing (BPO) and insourcing, financial technologies (fintech), large-scale technology platform implementations, enterprise resource system (ERP) deployment and restructuring, software-as-a-service (SaaS), cloud-computing solutions, software and other licensing arrangements (including open-source components, shrink-wrap and click-wrap agreements), and other vendor and supply chain procurement matters.
Rakesh’s securities practice includes serving as a trusted advisor for public companies, advising on a broad range of securities matters. He represents both issuers and underwriters in initial public offerings, follow-on offerings of debt, equity, derivative and hybrid securities, private investments in public equity (PIPE) transactions and tender and exchange offers. He also advises public companies in connection with their periodic and annual reporting (10-Qs and 10-Ks), proxy statements, board and committee governance issues, and Section 16 and insider trading matters.
Rakesh also has experience leading merger and acquisition transactions, private placements, strategic investments, and other transactions relating to the acquisition or disposition of businesses, assets and intellectual property.
He is passionate about diversity and inclusion issues within the legal community. In addition to his service on the local Charlotte Asian bar association, he is a former fellow and alumni board member of the Leadership Council on Legal Diversity, co-chair of a Charlotte diversity clerkship program, and a member of the local bar’s D&I committee. Rakesh also served on the Alumni Council of the Washington & Lee University School of Law, is Chairman of the board of directors of Girls on the Run International, and is a former member of the board of directors of PlateShare Feeds, Inc.
Experience
Technology (including Fintech) & Outsourcing Transactions
- Representation of a private university in connection with deployment of an enterprise-wide human resource management (ERP) cloud solution.
- Representation of a national publicly traded retailer in connection with the negotiation of a multi-million dollar renewal and expansion of its point of sale system on the Oracle technology platform, utilizing both on-premise and cloud-based services.
- Representation of a leading manufacturer of wearable devices for the pharmaceutical research industry in connection with its core technology partnerships.
- Representation of a global investment management firm in connection with the negotiation of a multi-million dollar license and services agreement for Blackrock’s Aladdin technology platform, a comprehensive asset management platform.
- Representation of a publicly traded private security and protection company in connection with a global fintech and payments initiative.
- Representation of a global investment management firm in connection with the comprehensive fintech, business process and information technology services outsourcing to two captive offshore services companies.
- Representation of a global leader in total cash management, secure logistics and payment solutions in its acquisition of a privately held provider of ATM services in the U.S. and in connection with potential transactions in, and offerings of, cryptocurrency.
- Representation of a large publicly-traded utility and energy services company in connection with a transformational business process outsourcing of its accounts payable, accounts receivable, corporate accounting, human resources, supply chain services and general finance services to an India-based global leader in IT services, consulting and business solutions.
- Representation of a manufacturer of medical-grade biometric monitoring technologies in connection with negotiation of arrangements with provider of global data connectivity hardware and software-as-a-service.
- Representation of a publicly-traded leader in education loan management and business processing solutions in connection with its partnership with a Card-as-a-Service (CaaS) platform offering robust cloud-based end-to-end credit card technology services to financial institutions.
- Representation of a Fortune 500 publicly traded global electrical, communications, and utility distribution and supply chain solutions company in connection with a transformative business process outsourcing of its accounts payable, accounts receivable, corporate accounting, HR, marketing and supply chain services.
- Represented large food and beverage distributor in connection with a $100m+ technology outsourcing and warehouse automation transaction involving the purchase of a large-scale engineered materials handling logistics system and associated licenses and services.
- Representation as outside general counsel for a cutting edge fintech solutions provider, including corporate structuring advice and negotiating software-as-a-service agreements with several leading financial institutions.
- Representation of a publicly traded innovative food and product packaging solutions company in connection with a comprehensive renegotiation of its business process outsourcing services, including financial and accounting services.
- Representation of one of the nation’s largest financial institutions in connection with the outsourcing of all of its facilities and real estate management, including its corporate headquarters, and for operationally critical infrastructure and project management services, for approximately $300 million.
- Representation of one of the nation’s largest financial institutions in connection with the negotiation and implementation of a $50m+ multi-year brokerage and clearing technology platform.
- Representation of one of the nation’s largest financial institutions in connection with the negotiation and implementation of a $50m+ multi-year trust accounting services technology platform.
- Representation of a large publicly traded utility and energy services company in connection with a business process outsourcing related to facilities and property management services.
- Representation of a leading technology distributor company in a $60m+ information technology outsourcing transaction with International Business Machines Corporation (IBM), leading negotiations with multiple vendors for an eventual master agreement a single down-selected vendor.
- Representation of life insurance company in a business process outsourcing transaction related to new product development and administration services, leading negotiations with multiple vendors for an eventual master agreement a single down-selected vendor.
- Representation of a global media services and publishing company in connection with a $55 million transformative business process and information technology outsourcing transaction.
- Representation of a publicly-traded multinational financial services company in its $1 billion+ technology licensing and services agreement for an enterprise-wide financial information and trading platform.
- Representation of a publicly-traded holding company for insurance, reinsurance and investment operations in connection with its human resources and payroll services outsourcing transaction with a global provider of end-to-end human resources outsourcing (HRO) services.
- Representation of a leading multinational manufacturer of concrete and clay building products in connection with an information technology outsourcing transaction.
- Representation of an international telecommunications provider in drafting and negotiating an agreement for a $500 million IT outsourcing.
- Representation of an international publishing company in negotiating and finalizing a process outsourcing transaction.
- Representation of one of the world’s largest beverage manufacturers in connection with a multi-million dollar information technology and business process outsourcing transaction.
- Representation of cable, high-speed online and digital phone services company in the negotiation and drafting of complex commercial contracts, including for commercial services, subscriber services and sponsorship arrangements.
- Representation of the producer of several well-known consumer beverage brands in a $30m+ application services (maintenance and development) outsourcing transaction.
- Representation of a food and beverage company in connection with a $100m+ information technology (end user and data center) outsourcing transaction.
- Representation of one of the world’s largest beverage manufacturers in connection with a multi-million dollar network integration and business process outsourcing transaction.
- Representation of healthcare systems in connection with licensing and outsourcing of critical IT functions, including EHR/EMR platforms and revenue-cycle management.
- Representation of a large engineered products manufacturer in connection with a multi-million dollar information technology outsourcing transaction.
- Representation of a group of medical device companies in connection with licensing, corporate structuring and commercial contracting.
- Representation of a provider of specialized business news and information in connection with a $40 million transformative business process and information technology outsourcing transaction.
- Representation of a manufacturing company in connection with a multi-vendor negotiation for the redeployment of a new enterprise resource planning (ERP) platform from Exact.
- Representation of a manufacturing company in connection with a multi-vendor negotiation for the implementation and deployment of an enterprise resource planning (ERP) platform.
- Representation of an industrial automation equipment provider in connection with an enterprise resource planning (ERP) platform.
- Representation of an enterprise resource planning (ERP) platform provider in connection with customer-facing negotiations [internal: freedom electronics.
- Representation of a sporting goods retailer in connection with the implementation and deployment of an enterprise resource planning (ERP) platform.
Corporate and Securities Transactions and Representations
Initial Public Offerings
- Representation of B. Riley Securities, Inc., as representative of several underwriters, in a $35 million initial public offering of common stock by Journey Medical Corporation (Nasdaq: DERM), a commercial-stage pharmaceutical company that focuses on the development and commercialization of pharmaceutical products for the treatment of dermatological conditions.
- Representation of B. Riley Securities, Inc., as representative of several underwriters, in a $45.2 million initial public offering of common stock by Cognition Therapeutics, Inc. (Nasdaq: CGTX), a clinical-stage biopharmaceutical company engaged in the discovery and development of innovative, small-molecule therapeutics targeting age-related degenerative diseases and disorders of the central nervous system and retina.
- Representation of ThinkEquity, a division of Fordham Financial Management Inc., as underwriter in a $28.75 million initial public offering of common stock by TransCode Therapeutics Inc. (Nasdaq: RNAZ), an emerging RNA oncology company.
- Representation of Stifel, Nicolaus & Company, as representative of several underwriters, in a $63 million initial public offering of common stock by Karat Packaging Inc. (Nasdaq: KRT), a rapidly-growing specialty distributor and select manufacturer of environmentally-friendly disposable foodservice products and related items.
- Representation of ThinkEquity, as representative of the several underwriters, in the initial public offering by LMP Automotive Holdings Inc. (Nasdsq: LMPX), an e-commerce and facilities-based platform where users can buy, sell and rent new and used automobiles.
- Representation of Biofrontera AG (Nasdaq: BFRA), an international biopharmaceutical company, as issuer’s counsel in its U.S. initial public offering of American Depositary Shares and subsequent trading on Nasdaq.
- Representation of the underwriters and joint book-running managers Rodman & Renshaw, a unit of H.C. Wainwright & Co., LLC and Joseph Gunnar & Co., LLC in the U.S. initial public offering of American Depositary Shares and warrants of Oasmia Pharmaceutical AB (NASDAQ: OASM).
Follow-On and Other Securities Transactions
- Representation of ThinkEquity, as underwriter, in connection with an approximate $8.5 million follow-on public offering of common stock and pre-funded warrants by TransCode Therapeutics, Inc. (Nasdaq: RNAZ), an emerging RNA oncology company created on the belief that cancer can be defeated through the intelligent design and effective delivery of RNA therapeutics.
- Representation of Fortress Biotech, Inc. (Nasdaq: FBIO), innovative biopharmaceutical company focused on efficiently acquiring, developing and commercializing or monetizing promising therapeutic products and product candidates, in connection with an at-the-market program for the offering of common stock led by Cantor Fitzgerald & Co. and Oppenheimer & Co. Inc.
- Representation of Mustang Bio, Inc. (Nasdaq: MBIO), a clinical-stage biopharmaceutical company focused on translating today’s medical breakthroughs in cell and gene therapies into potential cures for hematologic cancers, solid tumors and rare genetic diseases, in connection with an at-the-market program for the offering of common stock led by B. Riley Securities, Inc. and Cantor Fitzgerald & Co.
- Representation of a privately held clinical-stage biopharmaceutical company in the private placement of convertible preferred stock.
- Representation of Journey Medical Corporation (Nasdaq: DERM), commercial-stage biopharmaceutical company that focuses on the development and commercialization of pharmaceutical products for the treatment of dermatological conditions, in connection with the establishment of an at-the-market program for the offering of common stock.
- Representation of Fortress Biotech, Inc. (Nasdaq: FBIO), innovative biopharmaceutical company focused on efficiently acquiring, developing and commercializing or monetizing promising therapeutic products and product candidates, in a registered direct offering and concurrent private placement of contingent rights to acquire subsidiary securities.
- Representation of Avenue Therapeutics, Inc. (Nasdaq: ATXI), a specialty pharmaceutical company focused on the development and commercialization of therapies for the treatment of central nervous system diseases, in a registered direct offering and concurrent private placement.
- Representation of Avenue Therapeutics, Inc. (Nasdaq: ATXI), a specialty pharmaceutical company focused on the development and commercialization of therapies for the treatment of central nervous system diseases, in a $12 million follow-on public offering of units consisting of common stock (or pre-funded warrants) and warrants.
- Representation of ExlService Holdings, Inc. (NASDAQ: EXLS), a leading operations management and analytics company, in connection with a private exchange and prepayment of senior convertible notes held by Orogen Echo LLC, an affiliate of The Orogen Group, valued at $200m+ in cash and common stock.
- Representation of JMP Securities LLC and Ladenburg Thalmann & Co. Inc., as representatives of the underwriting syndicate, in connection with an underwritten firm commitment initial public offering of shares of Class A common stock of RCS Capital Corporation, a NYSE-listed company that provides wholesale broker-dealer, investment banking and capital markets, transaction management and transfer agency services.
- Representation of National Securities Corp., acting as exclusive placement agent, in connection with a private offering and sale of convertible preferred stock by Journey Medical Corporation.
- Representation of B. Riley Securities Inc. as underwriter in a $13.5 million follow-on public offering of common shares by Manhattan Bridge Capital Inc. (Nasdaq: LOAN), a New York-based real estate finance company that specializes in originating, servicing and managing a portfolio of first mortgage loans.
- Representation of ThinkEquity in connection with a $20 million private placement (PIPE) of Series A convertible preferred stock by LMP Automotive Holdings Inc. (Nasdaq: LMPX), an e-commerce and facilities-based platform where users can buy, sell and rent new and used automobiles.
- Representation of National Securities Corp., acting as exclusive placement agent, in connection with a private offering and sale of convertible promissory notes and warrants by Ordergroove, Inc., the operator of an e-commerce platform for retailers.
- Representation of National Securities Corp., acting as exclusive placement agent, in connection with a private offering and sale of preferred stock by Cyprium Therapeutics, Inc., a clinical-stage biopharmaceutical company.
- Representation of National Securities Corp., acting as sole book-running manager, in connection with a public offering and sale of common stock by Super League Gaming (Nasdaq: SLGG), a company that brings live and digital e-sports entertainment experiences directly to competitive gamers.
- Representation of Riley FBR, Inc. (formerly FBR Capital Markets & Co.) as placement agent in connection with the extension of its existing relationship with Soligenix, Inc. (Nasdaq: SNGX), a late-stage biopharmaceutical company.
- Representation of Alliance Global Partners (AGP), a regional investment and advisory firm providing investment advisory and brokerage services to individuals and institutions, in connection with the launch of an at-the-market program in which AGP serves as placement agent to ProPhase Labs, Inc. (Nasdaq: PRPH), a manufacturing and marketing company with experience with OTC consumer healthcare products and dietary supplements.
- Representation of placement agent in connection with the a private offering of common stock by a clinical stage company focused on the research, development and commercialization of transformative therapies for cancer and other inflammatory conditions.
- Representation of ThinkEquity, as sole book-running manager, in the $19.2 million follow-on equity offering by LMP Automotive Holdings Inc. (Nasdsq: LMPX), an e-commerce and facilities-based platform where users can buy, sell and rent new and used automobiles.
- Representation of Speedway Motorsports, Inc. (NYSE:TRK), a leading marketer and promotor of motorsports entertainment, in its public company “going private” 2-step tender offer and merger transaction with Sonic Financial Corporation and O. Bruton Smith and his family, in a transaction valued at over $265 million.
- Representation of JMP Securities, initial purchaser and placement agent, in connection with a concurrent $30 million Rule 144A convertible debt and $9.5 million private placement (PIPE) of Class B Common Stock of RumbleOn, Inc. (Nasdaq: RMBL).
- Representation of National Securities Corp., lead book-running manager, and Craig-Hallum Capital Group, joint book-running manager, in a $7.5 million underwritten public offering of Class B Common Stock of RumbleOn, Inc. (Nasdaq: RMBL).
- Representation of National Securities Corp. and Craig-Hallum Capital Group as placement agents in connection with a $21.6 million private placement (PIPE) of Class B common stock by RumbleOn, Inc. (Nasdaq: RMBL).
- Representation of ExlService Holdings, Inc. (Nasdaq: EXLS), a leading operations management and analytics company, in a strategic private placement (PIPE) transaction in which EXL issued $150 million aggregate principal amount of 3.50% convertible senior notes to The Orogen Group, a private company created by former Citigroup CEO Vikram Pandit and Atairos.
- Current and prior representation of publicly-traded companies in connection with securities issuances, reporting requirements and board-level corporate advice, including: ExlService Holdings, Inc. (Nasdaq: EXLS), Biofrontera AG (Nasdaq: BFRA), Speedway Motorsports, Inc. (NYSE: TRK), Harris Teeter Supermarkets, Inc. (NYSE: HTSI), Unifi, Inc. (NYSE: UFI), Bank of America Corporation (NYSE: BAC), PNM Resources, Inc. (NYSE: PNM) and Airborne Wireless Network (OTC: ABWN).
- Representation of National Securities Corporation as underwriter in connection with an underwritten public offering of Class B Common Stock by RumbleOn Inc. (Nasdaq: RMBL).
- Representation as underwriters’ counsel of National Securities Corporation, as representative of the underwriting syndicate, in connection with a follow-on public offering of common stock by Checkpoint Therapeutics, Inc. (Nasdaq: CKPT), a clinical-stage immune-oncology biopharmaceutical company.
- Representation of ExlService Holdings Inc. (Nasdaq: EXLS), a leading operations management and analytics company, in its investment in Corridor Platforms, a proprietary risk management platform.
- Representation of ExlService Holdings, Inc. (Nasdaq: EXLS), an operations management and analytics company, in its purchase of substantially all of the assets of Health Integrated, Inc., a Tampa-based healthcare analytics firm.
- Representation of National Securities Corporation as underwriters’ counsel in connection with a follow-on public offering of common stock by Senseonics Holdings, Inc. (NYSE: SENS), a medical technology company focused on commercializing glucose monitoring products.
- Representation of Northland Securities, Inc. as the sole bookrunner in connection with a follow-on public offering and Nasdaq uplist by AMERI Holdings, Inc., a provider of SAP cloud and digital enterprise services.
- Representation of a Fortune 50 financial services issuer in connection with multiple shelf registrations and sales of debt and equity securities.
- Representation of Fortune 500 food retail company in general corporate and ongoing securities matters, followed by $2.4 billion sale to a Fortune 50 company.
- Representation of the underwriting syndicate in connection with a $500 million At-the-Market common stock offering of shares of common stock of American Realty Capital Properties, Inc.
- Representation of J.P. Morgan Securities LLC and Citigroup Global Markets, Inc., as representatives of a syndicate of underwriters, in connection with the registered public offering of $310 million of convertible senior notes of American Realty Capital Properties, Inc.
- Representation of Barclays Capital Inc. and Citigroup Global Markets, Inc., as representatives of a syndicate of underwriters, in connection with the registered public offering of $690 million of two series of convertible senior notes of American Realty Capital Properties, Inc.
- Representation of Diamond Orthopedic, a medical device company offering revolutionary technology for orthopedic applications worldwide, in its $3.5 million seed round funding led by MagnaSci Fund L.P.
- Representation of public companies in connection with determining compliance obligations for SEC’s conflict minerals rule.
1934 Act and Corporate Governance
- Representation of a Nasdaq-listed leading data analytics and digital operations and solutions company in connection with its ongoing SEC reporting requirements and corporate governance matters.
- Representation of a Nasdaq-listed biopharmaceutical company that acquires, develops and commercializes innovative pharmaceutical and biotechnology products in connection with its ongoing SEC reporting requirements and corporate governance matters.
- Representation of a Nasdaq-listed commercial-stage pharmaceutical focusing on the development and commercialization of products for the treatment of dermatological conditions in connection with its ongoing SEC reporting requirements and corporate governance matters.
- Representation of a Nasdaq-listed clinical-stage biopharmaceutical company focused on cell and gene therapies for hematologic cancers, solid tumors and rare genetic diseases in connection with its ongoing SEC reporting requirements and corporate governance matters.
- Representation of a Nasdaq-listed company focused on the development of intravenous tramadol for the U.S. market in connection with its ongoing SEC reporting requirements and corporate governance matters.
- Representation of a Nasdaq-listed buy-side and sell-side advertising technology company in connection with its ongoing SEC reporting requirements and corporate governance matters.
- Representation of an NYSE-listed global yarn manufacturer in connection with its ongoing SEC reporting requirements and corporate governance matters.
- Representation of an NYSE-listed global thread manufacturer and grocery chain retailer in connection with its ongoing SEC reporting requirements and corporate governance matters.
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Washington and Lee University School of LawJD
cum laude
2006 - University of VirginiaBA2002
Chair, McGuireWoods Asian Pacific Lawyer Network
Board of Directors, Girls on the Run International
Board of Directors, Charlotte Asian Pacific American Bar Association
Alumni Council, Leadership Council on Legal Diversity
2015 Fellow, Leadership Council on Legal Diversity
Board of Directors, Community Building Initiative, 2014-2015
Law Council, Washington and Lee University School of Law Alumni Association, 2012-2016
Co-chair, Charlotte Legal Diversity Clerkship Program, 2010-2012
Member, Diversity & Inclusion Committee, Mecklenburg County Bar, 2010-2013
- Moderator, "How financial leaders are innovating and adjusting to today’s economic landscape", Invest: Charlotte 2022/2023 Launch Conference, August 2023
- Presenter, "Securities Law Compliance", Corporate & Regulatory Compliance Boot Camp 2022 – Part 2, Financial Poise, September 28, 2022
- Moderator, Lessons from History: From Vincent Chin to the Pandemic, May 25, 2022
- Presenter, "Securities Law Compliance", Corporate & Regulatory Compliance Boot Camp 2021, Financial Poise, August 11, 2021
- Moderator, Meet the General Counsel, May 11, 2021
- Presenter, "Securities Law Compliance", Corporate & Regulatory Compliance Boot Camp 2020, Financial Poise, April 8, 2020
- Presenter, "Drafting Clickwrap and Browsewrap Agreements: Avoiding Enforceability Pitfalls", Strafford Publications, March 24, 2020
- Speaker, Fintech Happy Hour, February 12, 2020
- Presenter, Fintech Update: Legal Regulation and Innovation Trends, November 5, 2019
- Moderator, "What is Blockchain and Is It Important for You to Be Prepared?", The Charlotte CFO Leadership Council, May 9, 2019
- Presenter, "Securities Law Compliance", Corporate & Regulatory Compliance Boot Camp 2019, Financial Poise, March 14, 2019
- Speaker, Gagan Gupta and Rakesh Gopalan Speak on Duke Law APALSA Panel, February 4, 2019
- Speaker, SEC Compliance and Disclosure Update, April 17, 2018
- Panelist, "Contracting for the Future", Deloitte 2017 Outsourcing Provider Forum, Westlake, TX, September 5, 2017
- Speaker, "Drafting Clickwrap and Browsewrap Agreements: Avoiding Enforceability Pitfalls", Strafford Publications, July 6, 2017
- Panelist, "Going Public from a Legal Perspective", KPMG and New York Stock Exchange IPO Bootcamp, May 9, 2017
- Panelist, "Negotiations: Learn by Doing", Minority Corporate Counsel Association’s General Counsel Summit, April 21, 2017
- Speaker, "Conflicts Minerals Rule", SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, March 7, 2017
- Speaker, "Securities Law Considerations Under the New Administration", SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, January 31, 2017
- Moderator, "Winning the Outsourcing Battle: Creating and Preserving Value", Becker’s Hospital Review 2nd Annual CIO/HIT + Revenue Cycle Conference, Chicago, IL, July 27, 2016
- Speaker, "Engaging and Disengaging Outsourcing/Technology Vendors", Engaging and Disengaging Outsourcing/Technology Vendors, McGuireWoods LLP, June 14, 2016
- Speaker, New York Office to Host Institutional Investor Clients, McGuireWoods LLP and The Regulatory Fundamentals Group, June 14, 2016
- Panelist, "Contracting for Value", Atlanta Chapter of the International Association of Outsourcing Professionals, February 27, 2015
- Speaker, RR Donnelley Proxy Statement Interactive Lunch Seminar, November 13, 2014
- Speaker, "Conflict Minerals Rule Update", SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, May 20, 2014
- Speaker, "SEC Guidance on Social Media and Regulation FD", SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, November 19, 2013
- Speaker, "Conflict Minerals Disclosures", SEC Compliance, Disclosure and Enforcement Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, October 22, 2013
- Speaker, "SEC Guidance on Social Media and Regulation FD", SEC Compliance and Disclosure Update – June 2013, McGuireWoods LLP SEC Practice Complimentary Webinar Series, June 4, 2013
- Speaker, "SEC Guidance on Social Media and Regulation FD", SEC Compliance and Disclosure Update – April 2013, McGuireWoods LLP SEC Practice Complimentary Webinar Series, April 23, 2013
- Speaker, "SEC Guidance on Social Media and Regulation FD", SEC Compliance and Disclosure Update – March 2013, McGuireWoods LLP SEC Practice Complimentary Webinar Series, March 28, 2013
- Speaker, "SEC Guidance on Social Media and Regulation FD", SEC Compliance and Disclosure Update – February 2013, McGuireWoods LLP SEC Practice Complimentary Webinar Series, February 26, 2013
- Speaker, "Conflict Minerals", SEC Compliance and Enforcement Update – September 2012, McGuireWoods LLP SEC Practice Complimentary Webinar Series, September 25, 2012
- Co-presenter, "Practical Tips for Engaging and Disengaging from Technology and Business Process Outsourcing", Presentation to the Charlotte Chapter of the Association of Corporate Counsel, August 23, 2012
- Speaker, SEC Compliance, Disclosure & Litigation Update, January 24, 2012
- Speaker, "XBRL Phase-In Update", SEC Reporting, Enforcement & Litigation Update, December 8, 2010
- Speaker, "SEC’s Final Rule Regarding XBRL Interactive Data in Financial Reporting", SEC Reporting & Enforcement Update, McGuireWoods Webinar, February 11, 2009
- Speaker, "SEC’s Proposed Implementation of XBRL Interactive Data in Financial Reporting", SEC Reporting & Enforcement Update, McGuireWoods Webinar, September 10, 2008
- North Carolina
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Selected for inclusion in “Legal 500 United States,” Fintech; Media, Technology and Telecoms: Outsourcing; Media, Technology and Telecoms: Technology Transactions; 2021, 2022, 2023
Recipient, “Diversity & Inclusion Award,” North Carolina Lawyers Weekly, 2021
Member, Editorial Advisory Board, Banking, Law360, 2021
Selected for inclusion into the North Carolina Pro Bono Honor Society, 2020
Member, Securities Editorial Advisory Board, Law360, 2020
Named to “North Carolina Rising Stars,” Business/Corporate, 2014, 2015; Technology: Transactions, 2016-2020, Super Lawyers, Thomson Reuters
Named a “next generation lawyer,” Technology: Transactions, Legal 500 US, 2018, 2019
Selected for inclusion as a “Leading Lawyer,” Technology: Transactions, North Carolina, Legal 500 US, 2016-2018
- Author, SEC Adopts Significant Changes to Securities Exchange Act Rule 10b5-1 and Imposes Related Disclosures, McGuireWoods Legal Alert, December 19, 2022
- Author, New York State Department of Financial Services Takes Aim at Blockchain Entities Circumventing Sanctions on Russia, Consumer FinSights, May 11, 2022
- Author, SEC Signals Enhanced Focus on Crypto Assets by Expanding the Enforcement Unit Tasked With Protecting Crypto Markets, Consumer FinSights, May 3, 2022
- Author, SEC Approves Nasdaq Rules on Board Diversity, McGuireWoods Legal Alert, September 9, 2021
- Author, Little Engine (No. 1) That Could: Exxon’s Proxy Battle and SEC’s Focus on ESG Disclosures, McGuireWoods Legal Alert, June 1, 2021
- Author, SPAC Litigation Likely to Surge in 2021, McGuireWoods Legal Alert, February 1, 2021
- Author, New York Modernizes Issuer Filing Requirements for Rule 506 Offerings, McGuireWoods Legal Alert, December 30, 2020
- Author, SEC Permits Use of Electronic Signatures in EDGAR Filings, McGuireWoods Legal Alert, December 28, 2020
- Author, Nasdaq Proposes Rules to Diversify Boards and Standardize Diversity Reporting, McGuireWoods Legal Alert, December 23, 2020
- Author, SEC Modifies Auditor Independence Standards, McGuireWoods Legal Alert, November 4, 2020
- Author, SEC Updates Regulation S-K Business Description, Legal Proceeding, Risk Factor Disclosures, McGuireWoods Legal Alert, September 10, 2020
- Author, SEC Expands Definitions of Accredited Investor and Qualified Institutional Buyer, McGuireWoods Legal Alert, August 28, 2020
- Author, SEC Issues Updated Guidance on COVID-19 Disclosures to Shareholders, Investing Public, McGuireWoods Legal Alert, July 7, 2020
- Author, SEC Updates Financial Disclosure Requirements for Acquired and Disposed Businesses, McGuireWoods Legal Alert, June 4, 2020
- Author, SEC, ISS Issue Guidance on Corporate Disclosures, Annual Meetings and Governance Amid COVID -19, McGuireWoods Legal Alert, April 17, 2020
- Author, SEC Continues to Roll Out Guidance and Exchange Act Filing Relief During COVID-19, McGuireWoods Legal Alert, March 30, 2020
- Author, SEC Disclosure in the Time of COVID-19, McGuireWoods Legal Alert, March 20, 2020
- Author, SEC Staff Legal Bulletin Clarifies Shareholder Proposal Exclusion Analysis, McGuireWoods Legal Alert, November 17, 2015
- Co-author, "Considerations for REIT or MLP formation by healthcare not-for-profit organizations", Becker's Hospital CFO, June 23, 2015
- Author, SEC Confirms Conflict Minerals Rule Remains (Largely) in Place, McGuireWoods Legal Alert, April 30, 2014
- Author, Conflict Minerals Rule Partially Struck Down by Federal Appellate Court, McGuireWoods Legal Alert, April 15, 2014
- Author, SEC Proposes Pay-Ratio Disclosure Rules, McGuireWoods Legal Alert, September 23, 2013
- Author, SEC Conflict Minerals Rule Upheld, McGuireWoods Legal Alert, July 24, 2013
- Author, SEC Issues (Limited) Conflict Minerals Guidance, McGuireWoods Legal Alert, June 4, 2013
- Author, How Tweet It Is – The SEC Provides Reg FD Guidance on the Use of Social Media, McGuireWoods Legal Alert, April 10, 2013
- Author, SEC Adopts Final Rule on Conflict Minerals Disclosure Requirements, McGuireWoods Legal Alert, August 24, 2012
- Author, SEC Sets Vote in August on “Conflict Minerals” Disclosure Rules, McGuireWoods Legal Alert, July 11, 2012
- Author, Access Denied! Court Invalidates Proxy Access Rules, McGuireWoods Legal Alert, July 25, 2011