- Corporate
- Series A Preferred Stock Offering for Online Fashion Startup
- $10 Million Sale of Mobile Latin Ent. Tech Company to Private Equity Firm
- EB-5/Reg S Securities Offering for Restaurant Hospitality Group
- Restructure/Sale of Equity in Logistics Company to Foreign Postal Service
- Securities Counsel to Saudi Family Office for Investment in U.S. company
- Purchase of Units, Issuance of Convertible Note, and Employment Agreement for Investor in Luxury Company
- Multi-Billion Dollar Financings of 5 Cruise Ships
- Led Legal Team to launch new Cruise Line in France
- Sale of 50% interest in Cruise Line joint venture to German Travel Company
- Joint Venture with the Haitian Government to develop a Pier for the World’s Largest Cruise Ship.
- Compliance
- Compliance Program Design/Advice for Private Equity-Backed Tech Companies
- OFAC/Venezuela Compliance Assessment, Advice and Training for Public Media Company and Wholesale Club Operator
- AML Compliance Program for one of the Largest Tech Distributors in the World.
- AML Due Diligence and Investigation of Brazil Investors in various Real Estate Funds
- Anti-Corruption/FCPA Compliance Program for Global Cruise Line Port Agent
- Organized and managed the Compliance & Ethics Committee; participated in the SOX Disclosure Committee
- Conducted various Risk Assessments and supported global/targeted ERM initiatives
- Drafted and managed various Corporate Policies, including Code of Ethics, Employee Handbook, FCPA, Antitrust, Insider Trading, Contracts Management, etc.
- Conducted several investigations on various matters including bribery, fraud, insider trading, employment, supply chain, conflicts of interest, lobbying, etc.
- Prepared and presented Annual Compliance Plans and Compliance Reports to Executive Management and Audit Committee
- Implemented ethics hotline system; provided reports to Management/Audit Committee
- Designed, Developed and Managed digital Records Management Program
- Developed and delivered live and virtual Compliance Training to employees
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