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
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
53 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, 2024 Supplement
Expert in due diligence, IPO process, 144A transactions, corporate governance. Deposed, testified, authored expert opinions &/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, Univ of Florida, Warrington College of Business Administration, Hough Graduate School of Business.
Advise/mentor students on: organization/structure/evolution of global investment bank; corporate|municipal finance; M&A; 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
