Stephen J. Nelson, the firm’s founder, holds a J.D., cum laude, from Harvard Law School and a B.A., summa cum laude, in Economics from the University of California at Los Angeles (UCLA). He has been admitted to the New York and Connecticut State Bars, and the Federal Courts for the Southern and Eastern Districts of New York, and holds NASD Series 7, 24, 55 and 63 registrations. Mr. Nelson is a member of the American Bar Association, the Association of the Bar of the City of New York and the Security Traders Association of New York (STANY).
Mr. Nelson has published articles dealing with mergers and acquisitions, the activities of institutional investors in corporate governance and the relationships between broker-dealers and employee benefit plans. His article “Special Issues Involving Broker-Dealers and Their Employee Benefit Plan Clients” was recognized as significant by the American Bar Association and cited in the Securities and Exchange Commission’s seminal red book study of the Investment Company industry.
Mr. Nelson has served as regulatory counsel to the capital markets group of an internationally recognized broker-dealer, General Counsel to a prestigious investment manager and mutual fund group, and as business and legal advisor to international banks and brokerage firms. Mr. Nelson also brings his business experience in securities trading to bear in providing practical legal advice in this area.
Mr. Nelson’s transactional experience includes serving as corporate counsel in more than 50 major public transactions, including acquisitions, debt and equity offerings, investment company formation, structured transactions and reorganizations, and many private securities offerings and investment funds. Several of these offerings involved the development of novel, exotic securities.
Mr. Nelson also has extensive business experience. As head of European Business Development for a leading securities trading firm, Mr. Nelson proposed, planned and established its European trading operation and managed that business to profitability.
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