Expertise
I. Investment Banking

1. Underwritten public offerings: solicitation; due diligence, transparency & disclosure; commitment committee, new issue marketing & suitability committee processes; listing decision; road shows/marketing, pricing & transaction fee negotiation; deal allocation (U.S. institutions, retail, "friends & family", international), first-day trading & post-closing after-market trading, syndicate short positions, covered ("Green Shoe") & uncovered ("naked"), finder's fees, deal expense allocation, 2nd offering timing & makeup (primary v secondary/both), "flipping".
2. IPO Process
3. Venture capital & private equity
4. Private placements
5. Securities research, interaction w/ investment banking & capital markets
6. Securities valuation
7. Going private
8. Investment banking relationship management
9. Strategic advice re mergers & acquisitions

II. Corporate Governance

1. Public, private, not-for-profit
2. Mutual funds
3. Securities exchanges
4. Fiduciary standard

Bio
AB English, Haverford College, 1963.

Commissioned officer, U.S. Navy: 7 years active duty (5 at sea, 2 as admiral's aide), 20 years reserve duty including two unit commands; graduate Naval Officer Candidate School, Naval Destroyer School, Naval War College Reserve Course; retired Captain, USNR-R (ret.).

MBA Management Information & Control, University of Pennsylvania, Wharton School of Finance & Commerce, 1971.

49 years experience in primary capital markets / investment banking; 23 years in senior positions of deal leadership (solicitation, structuring, marketing, pricing, distributing, after-market trading), profit & loss responsibility - over 1,250 underwritten public offerings (150+ IPOs) at three global investment banks (Warburg Paribas Becker, PaineWebber, Lehman Brothers). Member new issue marketing committee at all three firms & new issue commitment committee at WPB & PW. 

Founding editor (now co-editor) of the “Capital Markets Handbook”, created for securities industry under trade group (SIA, now SIFMA) sponsorship, now in its Sixth Edition, 2021 Supplement in process.  Also expert in due diligence, IPO process, 144A + corporate governance.  Deposed, testified, authored expert opinions & consulted in 76 cases. FINRA dispute resolution arbitrator since 1996. Conduct corporate financial advisory and wealth management advisory businesses.

Faculty member, Eugene F. Brigham Department of Finance, Insurance & Real Estate at University of Florida, Warrington College of Business Administration, Hough Graduate School of Business - advise & mentor graduate students in Master in Finance Program on career opportunities & business life management skills, lecture on select investment banking topics (e.g., asset management, corporate finance, merchant banking/private equity, mergers & acquisitions, primary capital markets & securities research) and teach course entitled "Capitalism"; authored course textbook.

Member National Association of Corporate Directors

Curriculum Vitae