Joel T. Shaw

With a past as a securities regulator in the New Hampshire Bureau of Securities Regulation, Joel has deep expertise in the federal and state securities laws—and the practical insight it takes to navigate today’s financial markets successfully.

Whether you’re an operating company seeking early stage or later round financing, Joel will help you structure capital-raising transactions and prepare disclosure documents that have every “i” dotted and every “t” crossed. And he’s just as good at counseling private investment funds on fund formation and compliance. And in addition to raising capital, he helps investors put it to work—including assisting both institutions and high net worth individuals review offering documents, conduct due diligence, and negotiate deal terms.

• Advising financial institutions and investment advisers with respect to mergers and acquisitions
• Counseling state and federal investment advisers with respect to organization, registration, and compliance matters
• Defending brokers and advisers in connection with regulatory exams and enforcement proceedings