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James focuses on capital markets and securities law, representing companies, investment banks, and investors in public and private offerings and SEC compliance. He advises public companies and investment funds regarding SEC reporting obligations and governance.
His transaction experience includes initial public offerings, follow-on offerings, secondary resales, private investments in public equity (PIPEs), registered directs (RDs), confidentially marketed public offerings (CMPOs), rights offerings, reverse mergers, convertible preferred equity and debt offerings, tender offers, and other transaction structures. He also has experience with cross-border financing transactions.
In addition, James advises companies and investors in connection with mergers and acquisitions and restructuring transactions. His recent concentration has been on technology and life sciences companies in the small- to mid-cap markets, but he has also advised companies ranging from private start-ups to large public companies.