R. Brian Brodrick

Biography

Brian Brodrick is engaged in major areas of corporate practice, including public and private securities offerings for foreign and domestic issuers, ADR offerings, SEC periodic reporting, mergers and acquisitions, fund formation, state securities law matters, and the preparation of general corporate and financing documents.

He regularly represents companies in a wide range of industries, including real estate, mineral exploration and development, retail energy distribution, technology, healthcare, and internet-related businesses.

Brian's practice includes

• Representing companies in public offerings of equity and debt securities, including initial and secondary offerings, selling stockholder offerings, best efforts offerings, direct offerings, and rights offerings.
• Handling PIPE and other private placement offerings of equity and debt securities under Regulation D, Regulation S, and Rule 144A.
• Representing foreign companies, including Australian, Canadian, and Israeli companies, in U.S. public and private securities offerings, including ADR offerings.
• Advising companies on listings on the New York and American Stock Exchanges, the NASDAQ Stock Market, and the OTC Bulletin Board, along with ongoing listing compliance issues.
• Counseling companies and boards on Sarbanes-Oxley, corporate governance, and fiduciary duty requirements.
• Representing public and private companies in mergers, acquisitions, and corporate reorganizations.
• Forming venture capital and private investment funds.

Professional Memberships

New York State Bar Association