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), 1st-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
(For search purposes, not intended to be a comprehensive list)
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), 1st-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
(For search purposes, not intended to be a comprehensive list)
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
MBA Management Information & Control, University of Pennsylvania, Wharton School of Finance & Commerce, 1971
52+ years 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 in over 1,250 underwritten public offerings (150+ IPOs) at three global investment banks (Warburg Paribas Becker, PaineWebber, Lehman Brothers). Member new issue marketing & new issue commitment committees
Founding editor/co-author of “Capital Markets Handbook”, created in 1999 for securities industry under trade group (SIA, now SIFMA) sponsorship; now in Seventh Edition, 2023 Supplement
Expert in due diligence, IPO process, 144A transactions, 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 (Lecturer in Finance), 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 MSF students on: organization/structure/evolution of global investment bank, corporate & municipal finance, mergers & acquisitions/bankruptcy & restructuring, primary/secondary capital markets - public & private, securities research, asset management/family office/wealth management, merchant banking/private equity/venture capital, work - personal life balance/career development & navigation, honesty-ethics-integrity, personal finance
Curriculum Vitae
SER Voting Member
