Stark & Stark P.C. Work Values

Daily Duties at Stark & Stark P.C.:

I was hired for a 10 attorney department to be in charge of and head public and private securities offerings, investment fund and hedge fund formation and representation, formation and representation of broker-dealers and deal with broker-dealer compliance issues. Over time, M&A and formation and representation of Registered Investment Advisors was added to my responsibilities as well as handling regulatory enforcement issues and actions for broker-dealers and registered investment advisors. Lastly, I was put in charge of a class action brought by a leaving partner, Hearn v. Rite Aid, due to my class action experience. In that position, I was responsible for the negotiation, drafting and completion of all relevant materials for the public and private offerings and ensuring that they complied with all the relevant rules and regulations concerning securities offerings. I also was responsible for all appropriate governmental filings for the offerings. In addition, I also was responsible for litigating and negotiating the regulatory issues for broker-dealers and registered investment advisors. I was also responsible for ensuring that clients that sought our help were in compliance with the relevant rules and regulations, most specifically as to their supervisory and compliance operations. I also was responsible for the negotiation and drafting of agreements or filings associated with M&A transactions and ensuring their successful completion. With regard to broker-dealer formation, I was responsible for drafting all documents, including Written Supervisory Procedures, required by regulators and working with the regulators to have the broker-dealer approved for business. As to investment or hedge funds, I was responsible for their construction, formation and providing the offering materials and corporate documents needed for operation. I was also responsible, with overseas counsel, for drafting and completing offerings of offshore funds. Lastly, I was responsible for drafting and providing filings, legal documents and agreements for clients related to their day to day business. As regards to the Hearn action, I was fully in charge of all aspects of the action once it was turned over to me, including motion practice, discovery and appeal.I principally worked alone though, at times, had an associate or two working with me.

What they like about Stark & Stark P.C.:

Working in an organization that is technologically advanced, creative, and innovative is critical in your assessment of hiring companies. Less important to you are stability of the organization, the length of time an organization has been in business, and the business' plans for the future. You prefer a fast-moving company that will take risks to achieve its goals and objectives. The length of time the company has been in business is irrelevant. Maintaining status quo is unnecessary. You thrive on change, uncertainty and the upside of potential business risks, especially those associated with innovation. Stability for the long haul is not nearly as important as is working in an atmosphere that is charged with a sense of urgency and constant change.

Tags

complex litigation, securities, business law, M, securities offerings, compliance, broker-dealer

Skills

Negotiate transactions, Complete public and private offerings, Litigate business cases, Litigate complex litigation matters, Represent broker-dealers and registered investment advisers in regulatory enforcement actions, Form broker-dealers and registered investment advisers, Form investment funds, hedge funds and equity funds, Handle appeals of actions, negotiate and complete mergers and acquisitions, Negotiate and draft agreements

These are some of the questions we asked our climbers about their experiences with Stark & Stark P.C.: