Spiegel Securities Law & Business Law 

Representative Work

• acted for  Healthcare issuer its $7 million Series A Round of Debentures and Share Units and follow on IP purchase

• acted for TSX-V-listed business in a merger of equals with another TSX-V listed issuer by Plan of Arrangement

• advised the audit committee of a TSX/NYSE-listed issuer on whistleblower-related complaints

• represented an investment dealer in an IIROC-related compliance investigation

• counsel to a privately-held technology startup in a series of private placements aggregating US$25 million

• acted for a Wall Street investment bank on its divestiture of Canadian-held assets

• represented the agent and underwriting on prospectus offering and private placements aggregating over US$1 billion

• acted for the head of compliance and management in an enforcement proceeding 

• acted for a listed issuer on a cooperation agreement with First Nations

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• represented multiple shareholders of a private issuer on its acquisition by an NYSE-listed multi-national corporation

• acted for issuers in listing on the TSX, TSX-V, LSE Main Board, and Nasdaq National Market

• mediated l business disputes 

• represented an issuer cease-traded by a securities commission for a mining disclosure breach, and the CTO's release

• represented Canadian members of the Board of NYSE issuer subject to SEC sanctions and the qualification of PIFs