Scot uses his deep knowledge of securities law to help clients navigate complex federal and state securities regulations. His extensive understanding of the Securities Act of 1933, the Securities Exchange Act of 1934 and SEC Regulations S-K and M-A is valuable when preparing securities filings, merger agreements, underwriting agreements and opinion letters. With 10 years of global law firm experience, he has provided counsel on capital raises, debt and equity financing, mergers and acquisitions, global corporate legal issues, legal risk management, contract negotiation, corporate governance and compliance.
Scot spent eight years working for the U.S. Securities and Exchange Commission in Washington, D.C. While there, he served as lead legal examiner of securities filings processed by the Office of Healthcare and Insurance, Division of Corporation Finance, with emphasis on initial public offerings, public merger transactions and periodic reports. He reviewed filings to evaluate compliance with SEC Regulation S-K and federal securities laws. Since returning to private practice in 2017, he has drafted company disclosure for securities filings, including periodic reports and registration statements.
As a member of Harris Beach’s Corporate practice group, Scot provides counsel to domestic and international business of all sizes and at all stages of growth. He works with clients in a variety of industries on complex business matters, and successfully implementing strategic growth plans. He advises on SEC disclosure requirements, public offerings and private placements, and shareholder activism defense. He regularly interacts with executive officers, directors, venture capitalists and others in pursuit of successful business outcomes.
Scot has published several articles on SEC rule changes, materiality under federal securities laws, takeover defenses and various other corporate legal matters. He holds a certification in securities and financial regulation from Georgetown University Law Center, in conjunction with SEC University.