Meet Joel, a former state securities regulator who helps his clients navigate the complex securities regulatory scheme without losing sight of the end game – closing the deal.
207 228-7308 direct
207 774-1200 main
207 774-1127 facsimile
100 Middle Street
PO Box 9729
Portland, ME 04104-5029
Business Law Practice Group
Private Capital Practice Group
Financial Regulation & Compliance
Fund & Investment Product Formation
Here’s why you’ll enjoy working with him.
With a past as a securities regulator in the New Hampshire Bureau of Securities Regulation, Joel has deep expertise in the federal and state securities laws—and the practical insight it takes to navigate today’s financial markets successfully.
Whether you’re an operating company seeking early stage or later round financing, Joel will help you structure capital-raising transactions and prepare disclosure documents that have every “i” dotted and every “t” crossed. And he’s just as good at counseling private investment funds on fund formation and compliance. And in addition to raising capital, he helps investors put it to work—including assisting both institutions and high net worth individuals review offering documents, conduct due diligence, and negotiate deal terms.
But that’s not all. Joel is also very experienced in:
- Advising financial institutions and investment advisers with respect to mergers and acquisitions
- Counseling state and federal investment advisers with respect to organization, registration, and compliance matters
- Defending brokers and advisers in connection with regulatory exams and enforcement proceedings
In his former life, Joel was:
- An institutional fund accountant with one of the world’s largest investment management firms
- A securities regulator at the New Hampshire Bureau of Securities Regulation
- In private practice
When Joel isn’t working, he is…
Spending time in the great outdoors. In the winter, he’s either skiing or snowboarding, while in the summer, he’s boating, mountain biking, or playing golf.
JD, Franklin Pierce Law Center, 2002
Senior editor, RISK: Health, Safety, and Environment
BA, Political Science, Boston College, 1997
Admitted to practice
States of Maine and New Hampshire
Maine Bar Association
New Hampshire Bar Association
American Bar Association