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Overview
RICHARD ASSISTS CLIENTS TO SUCCESSFULLY ACCESS THE U.S. CAPITAL MARKETS AND COMPLETE CROSS-BORDER BUSINESS COMBINATION TRANSACTIONS.
Richard is a leading practitioner, providing U.S. legal advice to Canadian and other foreign issuers in connection with NASDAQ and NYSE listings, SEC compliance, private and public debt and securities offerings, business combinations and general corporate matters related to United States business expansion. Richard also regularly provides U.S. structuring advice to U.S companies seeking listing on Canadian stock exchanges.
Richard is a frequent speaker on U.S securities law matters and heads Dorsey’s Toronto office.
Experience
Representative Experience
Pharma and Life Sciences
- Represented pharmaceutical company specializing in the acquisition of legacy and orphan products in connection with multiple Rule 144A equity financings, debt financing and bank lending transactions, acquisition of products through merger or asset purchase, regulatory compliance and various U.S. corporate issues
- Represented pharmaceutical company specializing in the development of novel pharmaceutical products in connection with SEC registration, multiple public and private equity financings including registered and PIPE offerings, SEC reporting and compliance, strategic partnerships, regulatory compliance and operational issues
- Represented medical device company in connection with multiple cross-border equity financings and U.S. regulatory compliance
- Represented pharmaceutical company in connection with multiple U.S. financing transactions and asset spin-off transaction
Technology and Clean Tech
- Represented virtualization and data storage company in connection with NASDAQ listing, acquisition of U.S. public target and Rule 144A financing
- Represented U.S. internet services company in connection with U.S. structuring advice in connection with Canadian financing
- Represented selling syndicate in regards to U.S. structuring and compliance in connection with Canadian IPO of a U.S. wind turbine manufacturer
- Represented developer of hydrogen production and delivery technology in connection with U.S. IP and corporate structuring
- Represented a leading RFID manufacturer in connection with various financings and SEC registration and compliance
- Represented developer of mobile phone applications in connection with U.S. financing and corporate structuring
Mining & Energy
- Represented large diamond producer in connection with NYSE listing, multiple Rule 144A financings, SEC reporting and compliance and disposition of retail assets
- Represented international gold producer in connection with NYSE listing, multiple Rule 144A equity offerings, SEC reporting and compliance and transformational business combination
- Represented uranium producer in connection with NYSE MKT listing, equity offerings, U.S. merger transaction, SEC reporting and compliance
- Represented silver producer in connection with multiple equity financings, OTCQX listing and compliance, and cross-border merger transaction
- Represented rare-earth metals producer in connection with Rule 144A debt and equity financings, cross-border disposition of assets, OTCQX listing and compliance
- Represented U.S. oil producer with regard to U.S. structuring and compliance in connection with its Canadian IPO and follow-on offerings
- Represented oilfield services company in connection with U.S. expansion of operations and Regulation D financing
- Represented multi-national electricity producer in connection with sale of notes under Rule 144A in connection with restructuring
Other Industries
- Represented U.S. gaming company in connection with U.S. regulatory and corporate matters
- Represented Canadian on-line gaming company in connection with U.S. corporate structuring and Rule 144A private placement
- Represented operator of U.S. surgical centers in connection with cross-border corporate structure, Rule 144A private placements and acquisitions of U.S. assets
- Represented European based REIT in connection with its U.S. financings
- Represented U.S. based consumer goods product manufacturer in connection with its product launch and various aspects of legal strategy
- Represented global real estate advisory company in connection with U.S. debt and equity financings and U.S. acquisitions
- Regularly represents various underwriters in connection with U.S. based equity and debt financings relating to a number of different industries
Industries & Practices
Banking & Financial Institutions
Explore This Practice View client achievements related to this practice View resources related to this practiceCanada Cross-Border Transactions
Explore This Practice View client achievements related to this practice View resources related to this practiceEnergy & Natural Resources
Explore This Practice View client achievements related to this practice View resources related to this practiceHealthcare & Life Sciences
Explore This Practice View client achievements related to this practice View resources related to this practice- Banking & Financial Institutions
- Canada Cross-Border Transactions
- Capital Markets
- Energy & Natural Resources
- Healthcare & Life Sciences
- Mergers & Acquisitions
- Technology