Education

Licensed Attorney in Colorado 1976 - 2007. Disbarred 2007.

• Organized Savoy and prepared and filed an offering statement pursuant to Regulation A with the U.S. Securities and Exchange Commission as a result of which Savoy became publicly traded on the Over-the-Counter Bulletin Board. .
• Arranged a reverse merger as a result of which Savoy became a partner with the Chinese government-owned First Institute of Geology Exploration of Heilongjiang Province, China, in a historic joint venture with licenses to develop and produce gold and other minerals from the properties held by the First Institute in Heilongjiang Province in northeastern China.
• Maintained the company’s office in the United States and performed all administrative services for Savoy because management and the directors resided in South Africa, China, Canada and Malaysia.
• Performed all legal services for Savoy, except for two civil actions handled by outside counsel over which I ultimately assumed responsibility as well.
• Settled all pending litigation and creditors’ claims, except for ongoing settlement negotiations in a civil action by a bank to recover escrow fees from certain stockholders in which Savoy has been named as a party.
• Kept Savoy current in its reports with the Securities and Exchange Commission and traded on the Over-the-Counter Bulletin Board until the spring of 2006 even though Savoy lost its equity interest in the joint venture because of the company’s inability to raise sufficient funds to make the final required capital contributions in the fall of 2006.
• Detailed list of responsibilities for Savoy available upon request.

• Traveled between the United States and Singapore for approximately one year while negotiating and assisting with the consummation of the reverse merger transactions.
• Acted as a liaison between the merged companies and the U.S. brokerage and investment communities.

• Full range of corporate and securities, and certain commodities, legal services.
• Focused on taking small, development-stage and start-up companies public under the Securities Act of 1933. This included organizing the company, if necessary; preparing the required documentation to enable the company to raise "seed" capital and financing from private, equity and/or debt investors; preparing the registration statement, on either Form SB-2 or S-1, primarily, for filing with the U.S. Securities and Exchange Commission and all amendments; and assisting the company during the offering period.
• Assisted numerous private companies to become publicly-traded on the American Stock Exchange and the OTC Bulletin Board and in the Pink Sheets in approximately 25 years.
• Assisted the newly-public companies with corporate governance and compliance under the Securities Exchange Act of 1934, including, primarily, preparing the necessary periodic reports for filing with the SEC such as annual reports on Form 10-K and 10-KSB, quarterly reports on Form 10-Q and 10-QSB, current reports on Form 8-K and proxy and information statements on Schedules 14A and 14C.
• Important focus - mergers and acquisitions, primarily reverse mergers and acquisitions of public companies by privately-held or closely-held companies as a means of going public without an IPO.
• Clients included numerous public and private companies, investors, entrepreneurs and others.
• Represented companies engaged in a wide variety of businesses, including but not limited to broker/dealers, commodity pools, blind pools, investment companies, business development companies and companies engaged in businesses such as air pollution monitoring and control, oil, gas and mineral exploration, development and production, robotics, electronic funds transfer, waste disposal, talent/booking agency, gaming, medical research and supply, consumer products and computer and software sales.