Bob advises public and private companies, as well as shareholders and investors on a variety of securities, corporate governance, and transactional matters. His deep knowledge of the securities regulations allows him to counsel clients through complex securities law issues, including securities offerings, periodic reporting and disclosures, stock exchange listing requirements, and other compliance matters.
Located in:
Areas of Focus:
Publicly traded and privately held clients turn to Bob for a broad range of corporate and securities law issues. He provides guidance in the areas of SEC filings, disclosures, and general compliance for domestic and foreign issuers, as well as securityholders.
Bob counsels business clients in a diverse range of industries and handles securities law compliance, corporate governance, and securities offerings. He advises NYSE, Nasdaq, and other publicly traded companies on the latest developments and requirements affecting public companies, including SEC regulations and stock exchange rules, as well as developments in regulatory and case law.
He provides analysis of "securities" status of cryptocurrency tokens; U.S. securities law compliance for token sales, including U.S. offerings under Regulation D, offshore offerings under Regulation S; and compensatory grants to employees and consultants.
Representative matters may include engagements before joining Troutman Pepper.
Troutman Pepper Financial Services
09.22.23
Delaware Updates Rules for Equity Award Delegations
Articles + Publications
09.19.23
Delaware Further Updates its Framework for Equity Award Delegations
Articles + Publications
07.20.23
Securities Investigations and Enforcement Newsletter - July 2023
Troutman Pepper Financial Services
07.14.23
SEC v. Ripple Labs, Inc.: XRP Considered an Unregistered Security in Institutional Sales but Not in Programmatic Sales or Other Distributions
Articles + Publications
07.14.23
SEC v. Ripple Labs, Inc.: XRP Considered an Unregistered Security in Institutional Sales but Not in Programmatic Sales or Other Distributions
Articles + Publications
05.09.23
Securities Investigations and Enforcement Newsletter - May 2023