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 institutions/retail); 1st-day trading; post-closing after-market trading, syndicate short positions: covered ("Green Shoe") & uncovered ("naked"); "flipping"; deal expense allocation; 2nd offering timing & makeup (primary v secondary/both); finder's fees
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 M&A
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 institutions/retail); 1st-day trading; post-closing after-market trading, syndicate short positions: covered ("Green Shoe") & uncovered ("naked"); "flipping"; deal expense allocation; 2nd offering timing & makeup (primary v secondary/both); finder's fees
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 M&A
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
Marquette University, 1960-62, select studies
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
University of Florida, 2023, honorary alumnus
54 years in investment banking. 23 years in primary capital markets in the senior position of deal leadership (solicitation, structuring, marketing, pricing, distributing, after-market trading) & profit/loss responsibility for 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, 2025 Supplement
Expert in due diligence, IPO process, 144A transactions, corporate governance. Deposed, testified, authored expert opinions and/or consulted in 77 cases.
FINRA dispute resolution arbitrator since 1996
Conduct corporate financial advisory & wealth management advisory businesses
Faculty member, Lecturer in Finance, Eugene F. Brigham Department of Finance, Insurance & Real Estate, University of Florida, Warrington College of Business, Hough Graduate School of Business, 1996-2025
Mentored students on organization/structure/evolution of global investment bank; corporate | municipal finance; M&A; primary capital markets; securities research; asset management | wealth management | family office; merchant banking | private equity | venture capital; work-life balance | career development & navigation | honesty-ethics-integrity | personal finance & retirement | citizenshi
Curriculum Vitae
SER Voting Member
