Areas of Practice
Commercial Transactions
Securities
Corporations and other Business Entities
Broker-Dealers and Investment Advisers
Mergers and Acquisitions
About Jim
Since 1970, Jim has concentrated his practice on securities and corporate law, emphasizing new equity financings and corporate acquisitions and reorganizations involving publicly traded companies. Jim’s particular practice interests are:
- structuring complex mergers, securities offerings, acquistions, and other transactions
- integrating securities, corporate law and financial reporting requirements with tax planning
- representing companies and selling group members in securities offerings and preparing offering documents and SEC periodic reports for public and private financings
- preparing ongoing disclosures to stockholders and the investment community
- organizing new business entities, whether owned by family members, business or professional associates or the public
- advising broker-dealers and investment advisers
- coordinating international business ventures with local legal counsel, accountants and governmental authorities
Jim particularly focuses on understandable, readable disclosure, including the development of overall communication strategies and the drafting of specific language for sensitive matters.
Education
- George Washington University, Juris Doctor – 1970 (with honors)
- Order of the Coif – Top 10% of graduating class
- Comment Staff, George Washington Law Review (1968-70)
- Comment, Racial Discrimination in the Federal Civil Service, 38 Geo.Wash.L.Rev. 265 (Dec. 1969)
- Nebraska Wesleyan University, bachelor’s degree (Political Science and English) – 1967 (with distinction)
Professional Activities, Publications and Awards
- Utah State Bar
- Securities and Corporate Law Sections
- Chairman of Securities Section – 1982-83
- Securities Advisory Committee to the Utah Securities Division (1984-96)
- Utah State Securities Advisory Board – Member 1983-86 (Appointed by Governor Matheson)
- Utah Business magazine’s Legal Elite – 2005, 2006, 2007
- AV-rated by Martindale-Hubbell, an independent legal information agency, reflecting the highest professional excellence, expertise and integrity
Lecturer and panelist at continuing legal education seminars sponsored by the Utah State Bar, North American Securities Administrators Association and the National Business Institute on various securities law topics. Recent presentations:
“Memoirs of Extraordinary Popular Delusions and the Madness of Crowds,” Charles MacKay, J.D., 1852, Utah Bar Securities Section (2010)
Non-Majority Enterprise Interests, Utah Bar Business Law Section (2009)
Top 10 Compliance Challenges Facing Micro Cap Companies: PIPE Opportunities and Issues (Panelist) Bay Hill Micro Cap Conference (2006)
Going Private, Bay Hill Micro Cap Conference (2005)
Community Involvement
- Nebraska Wesleyan University, 1986-present, Board of Governors (Chair, Advancement Committee; former Chair, Committee on Enrollment & Marketing), former member and president, Board of Trustees
- Realms of Inquiry School, former member, Board of Trustees
- Repertory Dance Theater, former member and president, Board of Trustees
- Ballet West Academy, former member, Board of Trustees
