David has extensive transaction experience representing issuers, broker-dealers and investment funds in financings, capital markets transactions, and mergers and acquisitions. His clients span a variety of industries and his practice includes such matters as general corporate governance, securities regulation, mergers and acquisitions, and financings. He also maintains several securities industry licenses, including the Series 24 (Registered Principal), Series 7 (General Securities), Series 79 (Investment Banking), and Series 99 (Operations), which gives him a unique insight into the challenges facing regulated firms.

David handles both regulatory and transactional work for broker-dealers. His regulatory practice addresses virtually all securities law-related statutory and regulatory requirements applicable to broker-dealers and their affiliates, covering employee issues; sales and trading; development of compliance and supervisory procedures; satisfaction of margin, capital and recordkeeping requirements; the rules of the financial industry self-regulatory organizations; anti-money laundering; and privacy.

Representative Client Work

  • Represented Digital Ally, developer and manufacturer of advanced video recording products for law enforcement, emergency management, fleet safety and security, in an aggregate of $15.31 million of public and private offerings during a 12 month period
  • Represented Summit Wireless Technologies, Inc., a provider of immersive, wireless sound technology for intelligent devices and next generation home entertainment systems, in its $18.54 million public and private offerings
  • Represented ROTH Capital Partners, LLC as investor in the $3 million public offering of common stock and warrants by Torchlight Energy Resources, a high-growth oil and gas exploration and production (E&P) company
  • Represented Alliance Global Partners as sales agent in the $250 million equity line stock purchase agreement by Sorrento Therapeutics, a clinical stage, antibody-centric, biopharmaceutical company developing new therapies to treat cancers
  • Represented National Securities as co-placement agent in 9 Meters Biopharma's $22 million private placement of preferred stock and warrants
  • Represented Alliance Global Partners as underwriter’s counsel for Vislink Technologies, Inc., a global leader in the development and distribution of advanced communication solutions, in its $22 million public offering of common stock and warrants
  • Represented Alliance Global Partners as underwriter in the $5 million public offering of common stocks and warrants by iBio, a global leader in plant-based biopharmaceutical contract development and cGMP manufacturing services
  • Represented ROTH Capital Partners, LLC as underwriter in the $4.1 million public offering of common stock by Inuvo, Inc., a company that develops AI-driven eCommerce solutions
  • Represented Westpark Capital as underwriter in the $5.2 million "At-the-Market" Offering by Houston American Energy Corp., an oil and gas exploration and production company

Bar & Court Admissions

  • New York
  • District of Columbia
  • Massachusetts

Education

  • LL.M., Boston University School of Law
  • J.D., Suffolk University Law School
  • A.B., Kenyon College

Awards & Honors

  • The Legal 500 U.S., 2020

Practices

Industries

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