How Richard Helps Clients

Rich concentrates his practice on corporate and securities matters, having advised clients in a broad range of industries, including financial services, pharmaceuticals, retail, REITs, marketing, media and entertainment, beverage, personal care, nutritional supplements and medical device businesses.

Rich has extensive experience in capital markets, corporate finance, mergers and acquisitions, and general corporate representation. He counsels domestic and foreign private issuers, underwriters and broker-dealers as well as directors, executive officers, in-house counsel and entrepreneurs on a wide variety of matters, including:

  • Public and private equity and debt securities offerings, including underwritten, at-the-market, registered direct, shelf takedown, Rule 144A and Regulation D offerings
  • Corporate governance
  • SEC filings and compliance and securities exchange rules
  • Proxy statements and consent solicitations
  • Divestitures
  • Joint ventures and strategic alliances
  • Leveraged transactions
  • Executive employment, shareholder and other agreements

As part of his foreign experience, Rich has counseled on U.S. securities law requirements impacting Canadian foreign private issuer capital markets transactions, as well as other U.S. corporate law issues.

What Clients Can Expect

Rich is a trusted advisor whose 30+ years of experience in both M&A and securities matters have enabled him to understand key client concerns with a view toward developing practical, cost-effective solutions - and at the same time identify and resolve complex issues for clients that may not otherwise be readily apparent. He always ensures his clients are protected at every step of the transaction regardless of how quickly a deal is moving. Rich prides himself on always being available to clients to review and address issues and developments, usually returning calls within an hour when possible.

My clients’ issues and concerns become my issues and concerns- - and I will do all I can to address them as quickly as I possibly can to facilitate an orderly and manageable process.

Outside the Office

When not working, Rich is often involved in various home improvement and other projects, drawing upon his experience in his family’s marble, terrazzo and concrete business. He also lives vicariously through his three daughters and attends a rock concert or two with them every year.