Tom’s experience also includes reverse mergers and private equity financing transactions (PIPEs) as well as initial public offerings (IPOs), confidentially marketed public offerings (CMPOs), registered direct offerings (RDs), rights offerings, and shelf offerings. In addition, Tom represents both public and private companies in a wide variety of corporate transactions, including mergers and acquisitions, joint ventures, and employment and shareholder agreements.
In addition to Tom’s role at Barclay Damon, he is of counsel at the Matt Law Firm, PLLC.
- Represents publicly held companies in registered stock and warrant offerings, including CMPOs, RDOs, and rights offerings.
- Represents companies in PIPES, including an issuance of convertible promissory notes and warrants.
- Advises companies on general corporate matters.
- Advises publicly held companies on corporate governance issues, including committee and board issues.
- Advises public companies regarding compliance with 1934 Exchange Act requirements, including all periodic filings on Forms 10-K, 10-Q, 8-K, and proxy statements as well as other regulatory and filing requirements with the SEC, NYSE American, NASDAQ, and FINRA.
- Represented private pharmaceutical companies in going public via a reverse merger transaction.
- Acted as general counsel and lead integration counsel for a division of an international leader in medical products. Responsible for all legal matters for its 30 domestic and international subsidiaries, including monitoring and advising on legal and regulatory compliance, compliance with anti-kickback rules, Stark Act and regulations, FCPA, HIPAA, and fraud and abuse issues.
- Served as an in-house attorney in the corporate development/mergers and acquisitions group of an international bank. Responsible for providing legal advice and support to the bank for a range of complex transactions involving mergers and acquisitions, joint ventures, and dispositions.
- Advised public foreign and domestic companies on internal control policies and review and comment to MD&A disclosure. Responsible for implementing requirements pertaining to the Sarbanes-Oxley Act of 2002 and NYSE corporate-governance listing standards in the Securities and Exchange Act of 1934 regarding filings for various NYSE corporations.
- Represented buyers and sellers in various asset purchases/sales, mergers, acquisitions, and dispositions. Representative transactions include an acquisition of a Hungarian drug-research company for a NASDAQ-listed company and the disposition of a company that provided business and personal insurance.
- Syracuse University College of Law, J.D., magna cum laude, Syracuse Law Review, Order of the Coif, 1999
- Western Michigan University, B.S., 1990
- New York, 1999
- New York State Bar Association
- Trenton Falls Arts Festival, Organizational Committee Member
- GE Healthcare: Clinical Systems, Acting General Counsel and Lead Integration Counsel
- Deutsche Bank AG, In-House Attorney
- DLA Piper US LLP, Associate