Overview

Karl has over 40 years of experience in the field of broker/dealer and investment advisor regulation, including the representation of clients at SEC, state agency, and self-regulatory (FINRA) enforcement, licensing proceedings, and FINRA arbitrations. He counsels financial professionals including stockbrokers, investment advisors, entrepreneurs and other entities regarding SEC and FINRA matters, as well as with commercial and securities litigation. He assists clients with non-public securities offerings and advises generally in various aspects of business formation and operations. Prior to entering private practice, he served as an enforcement attorney with the Ohio Division of Securities.

Karl’s extensive background in securities practice and civil enforcement is beneficial in his work helping small and closely-held businesses with securities structuring so they are in compliance with registration, exemption and disclosure requirement of federal and state securities laws. He also provides counsel in the field of venture capital and private equity transactions.

                 

Practices