Adam S. Tracy

Securities Compliance Group Ltd

Attorneys in Firm – 3
A former competitive rugby player, serial entrepreneur and attorney with broad financial, legal and operating experience spanning across a wide variety of corporate, corporate finance and securities matters, including: - Corporate governance, general corporate and securities law, including FINRA and SEC public-company financial reporting; - Strategic legal and business planning, including mergers, reverse mergers, initial public offerings (IPOs), acquisitions, divestitures, bankruptcies, securities issuances, capital transactions and strategic investments; - Merger and acquisition advisory and due diligence, including buy-side transactions, recapitalizations, business valuations, review of strategic alternatives; tax advantaged structures and bankruptcy/insolvency situations; - Securities transfer and sale including Rule 144, crowdfunding, Regulation D; - Shareholder communication programs, including proxy solicitation and contests; - Hedge fund and RIA formation and administration; and - Capital formation; investor presentation and pitch development; network of over 100 investment banks, hedge funds and PIPE funds
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(888) 978-9901 (312) 754-9499secondary
2100 Manchester Road Suite 615 Wheaton IL 60187

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