PRACTICESCorporate and Securities
- Hofstra University, J.D.
- Clark University, B.A.
- New York
Warshaw Burstein Partners Martin Siegel and Brian Daughney Advise Houston-based Nexalin Technology on $9.6 Million IPO09/23/2022
Corporate partners Martin Siegel and Brian Daughney represented Nexalin Technology, Inc. as securities and general corporate counsel with respect to Nexilin’s initial public offering of 2,315,000 units which closed on September 20, 2022.
SEC Issues Guidance for Resolving Securities Disputes with Broker-Dealers06/27/2022
The SEC’s Office of Investor Education and Advocacy (“OIEA”) recently published an investor bulletin to educate investors on the legal remedies available for resolving disputes with broker-dealers under the Financial Industry Regulatory Authority (“FINRA”).
WHAT’S IN A NAME? SEC Announces Rule Proposal to Address Fund Names06/23/2022
On May 25, 2022, the U.S. Securities and Exchange Commission (“SEC”) released proposed amendments to Rule 35d-1 (the “Names Rule”), under the Investment Company Act of 1940. The SEC believes that the amendments would enhance transparency in the asset management market and ensure that a fund’s name does not misrepresent the fund’s investments and risks.
SEC Proposes Rule Changes for SPACs to Enhance Disclosure and Protect Investors03/31/2022
by Jordan Kohn and Brian Daughney
Big changes may be on the horizon for special purpose acquisition companies (“SPACs”). The Securities and Exchange Commission (SEC) voted on Wednesday, March 30, 2022, to propose new rules for SPACs which, if adopted, would require SPACs to provide increased investor disclosures focused primarily on their ownership and performance forecasts. The proposed rules and amendments are designed to enhance disclosure and investor protection in initial public offerings (IPOs) by SPACs and in business combination transactions involving shell companies, such as SPACs, and private operating companies.
Warshaw Burstein Expands Team, Adding New Partners in Corporate and Securities, Tax Groups02/22/2022
Brian Daughney Joins as Partner in the Corporate and Securities Group, Michael Kaufman Joins as Partner, Chairs Tax Group