Senior Product Manager - Private Markets, Computershare
Joan Dromey is the Senior Product Manager for Private Markets, at Computershare, N.A. She has wide ranging expertise in ecommerce products/systems, business and systems analysis, process improvement and risk/compliance issues as well as extensive background and knowledge of financial services, capital markets, securities trading and electronic payment processing. Computershare Investor Services provides comprehensive, best-in-class transfer agent services for over 6,000 corporate clients, including REITs, ETFs and ADRs and administers over 25 million active shareholder accounts. Services include shareholder recordkeeping and account maintenance on proprietary systems, industry-leading shareholder services, robust self-service options via automated telephone and Internet, annual meeting services, dividend disbursement, investment plans, shareholder communications, lost holder and escheatment service. Prior to joining Computershare, Joan worked for several years raising equity capital for real estate and venture private placement offerings (First Winthrop, The Harborside Companies) as well as building a successful practice consulting and providing strategic planning services to entrepreneurs. She holds a Bachelor of Arts degree (cum laude) from the College of the Holy Cross.
Brian Korn is a corporate and securities attorney at the law firm Manatt, Phelps & Phillips, LLP, and has had multiple appearances on Fox Business Television, Bloomberg, CCTV America and National Public Radio as an expert on the JOBS Act, including its impact on crowdfunding, peer-to-peer lending, IPOs and market trading dynamics. He has been published or quoted in Forbes, CNBC, MSNBC, New York Law Journal, Law360, Philadelphia Inquirer, Pittsburgh Post-Gazette, The Financier Worldwide and The Review of Securities & Commodities Regulation.
He is the author of several articles on capital raising and investor liquidity, and has several clients in the peer-to-peer lending space. Brian is the author of “The Trouble with Crowdfunding” published in Forbes, as well as the Forbes article announcing the SEC’s crowdfunding rules proposal. Prior to joining Pepper, Brian was Head of Equity Capital Markets and Syndicate Compliance at Barclays and was Senior Vice President and Assistant General Counsel for Citigroup Global Markets Inc.Brian is an honors graduate of the University of California at Berkeley and the Northwestern University School of Law.
Marty counsels his clients on various forms of structured finance, securities matters, private and public offerings, SEC reporting, 1934 and 1940 Act compliance, mergers and acquisitions, real estate financings, venture capital and angel financings, fund formation and compliance, business formation and corporate governance. Over the past five years, Marty has been active in advising clients in the crowdfunding and peer-to-peer lending space, with a particular focus on the JOBS Act, 506 offerings, intrastate offerings and Regulation A. His clients in this space include nationally and internationally recognized platform operators, sponsors, issuers, investors and service providers.
Prior to joining CLI, Marty served as General Counsel and Director for Harbor Capital Partners, a private investment company. He also served as in-house counsel for other funds and investment groups and continues to focus a large part of his practice on issues surrounding private funds. His clients in this area include hedge funds, private equity funds, venture capital funds where he provides counsel relating to fund formation and structuring, regulatory compliance, investment structuring and reporting issues. He has assisted in the formation of numerous domestic and offshore funds in various structures and has advised investment managers and investment advisors on state and SEC compliance issues associated with the management of such funds.
Marty also represents a number of entrepreneurs, small and large companies as well as private investors, finance companies, national and regional banks, investment banks and venture capital and private equity firms. In working with such clients, he regularly advises on various transactions, financings, contracts and agreements in an array of matters. Throughout his career, he has provided counsel in association with over $500 million in debt and equity financings.
Markley S. Roderick
Markley S. Roderick concentrates his practice on the representation of entrepreneurs and their businesses. He represents companies across a wide range of industries, including technology, real estate, and healthcare.
Expanding on his in-depth knowledge of capital raising and securities law, Mr. Roderick spearheads the firm’s Crowdfunding practice and is one of the leading Crowdfunding lawyers in the United States. He maintains a Crowdfunding blog at www.crowdfundattny.com, which contains news, updates and links to important information on the Crowdfunding industry. Mr. Roderick also speaks regularly at Crowdfunding events, including these events within the last few months:
Crowdfund Global Expo (CFGE) Crowdfund Investment and Alt. Finance Summit – New York, NY
CFGE Crowdfund Real Estate Summit – Austin, TX
Harvard Business School Club – Crowdfunding Real Estate Seminar – New York, NY
Pharmaceutical Consulting Consortium International, Inc's 7th annual Rountable focused on Crowdfunding for the Life Sciences – Chesterbrook, PA
Mr. Roderick represents dozens of portals and other participants in the Crowdfunding industry, providing both technical knowledge and industry expertise.
Mr. Roderick has spent more than 30 years representing entrepreneurs and their businesses in a wide variety of transactions, including:
Counseling entrepreneurs through the formation, development, and growth of their businesses
Raising money through private placements and venture capital
Buying, selling, and investing in businesses
Planning business transactions to minimize corporate and individual taxes
Preparing Shareholders’ Agreements, Partnership Agreements, and Operating Agreements
Protecting business goodwill through restrictive covenant (non-compete) agreements
Compensating key employees using options and restricted stock
Technology licensing and development
Mr. Roderick developed and moderates a seminar series for entrepreneurs co-sponsored by the Rutgers-Camden Business Incubator, the Burlington County College High Technology Small Business Incubator, and the Rutgers-Camden Small Business Development Center. In this series, Mr. Roderick and other panelists guide the entrepreneur through key legal aspects of business development and growth.
Scott Purcell – Founder, CEO, FundAmerica, Chief Trust Officer, Prime Trust
Scott is the CEO of FundAmerica, which provides technology for escrow, payment processing, AML, registered transfer agent and compliance to investment advisers, broker dealers, crowdfunding portals and others who make a business of tech-driven fundraising pursuant to Titles II, III and IV of the JOBS Act. He is also the CEO and Chief Trust Officer of Prime Trust, the only tech-driven trust company in the world with a focus on providing custody, escrow and trust services to the private securities industry. He is the author of the book “The Definitive Guide to Equity and Debt Crowdfunding” as well as the “Industry Best Practices for Funding Portals”. Scott has considerable experience in both securities and internet technology. In 1988 he founded a trust company that managed fixed income instruments for institutional investors, which he built to over $1 billion in assets and sold to CommerceBank Group, becoming President of the banks Trust Department. Scott also started a bond trading firm, a clearing broker for institutional investors, and published a book "The Guide to Fixed Income Investing". In 1994 he founded Epoch Networks, one of the world's first ISP's. As a founding Board member of the Crowdfunding Intermediary Regulatory Advocates (CFIRA), he often wrote legal and industry papers as the Congress shaped legislation and the SEC crafted rules.
Mr. Purcells current venture is Arctic Island, a crowdfunding platform that connects investors with job creators in need of capital.
Gene Massey is the CEO of MediaShares and its subsidiary, QwikShares, companies offering innovative CrowdFinance solutions for marketing and transacting online securities offerings. MediaShares applies its U.S. Patented methodology, system, and software to facilitate CrowdFinanced Online Public Offerings.
MediaShares' methodology helps companies with online fans, customers, and affinity groups raise capital by selling their private and public shares directly to their online communities. Using our system and software in Regulation D and Regulation A+ securities offerings, both the stock issuer and its FINRA broker collect valuable data from their massive online community of shareholders.
Gene is a regular speaker at Wall Street conferences and in addition to creating transformative methodologies for selling securities on the Internet, he is also known as an Internet marketing specialist. For many years he has owned and operated an online video production company, and worked personally for seven years with Ely Callaway, Chairman of Callaway Golf, creating over four hundred television commercials that introduced and promoted the "Big Bertha" line of golf clubs. During the years that Gene worked with Callaway, their total sales increased from $21 million to $843 million.
Amilcar Chavarria is a financial technology entrepreneur with experience in fixed income, personal finance, risk management and private placements. He is currently the CEO of FinTech Portfolio, a fast growing network of FinTech Entrepreneurs that provides Innovation Services to Financial Institutions. In 2015, he started FundPaaS, a funding platform as a service that can convert any website into a crowdfunding portal. Prior to that, Amilcar was on the leadership team of a venture-backed startup that launched the leading payments and compliance engine for crowdfunding portals where he increased client growth by 300%. In 2016, Amilcar started the FinTech School which has notable clients such as Moody's Analytics, IBM and The Wharton School of Business. In 2012, Amilcar started one of the earliest Robo-Advisors in the US and has been invited to speak in China during the launch of the 1st Robo-Advisor by Guangfa Bank. In December of 2016, Amilcar was featured on the cover story of CFA Magazine and Bankless Times.
Amilcar has held a variety of senior roles in corporate finance, product management, business development and investment analytics at well renowned investment banks and asset managers like Goldman Sachs and BlackRock. He's also a graduate of The Wharton School Of Business.
Michael Homeier practices in the area of general business, securities, corporate, transactional, and business financing law (including EB-5 and Crowdfunding) both for entrepreneurs and start-ups, and for established businesses, in every industry, including tech and entertainment. With over 30 years' experience in the corporate and business transactional fields, both as in-house corporate counsel and with private law firms, Michael brings a deep level of legal knowledge and expertise to the start-up world. He represents a number of entrepreneurs in their formation, organization, and financing, including through Crowdfunding platforms and portals, and regional centers in the EB-5 Program, and assists them with structuring their projects, organizing their entities, and documenting the launch of their enterprises, including private placement memoranda (PPMs), investor procurement agreements, articles, bylaws, operating agreements, shareholder agreements, stock purchase agreements, NDAs and Non-Circs, plus transactional and financing documents. In addition to numerous engagements as a university law professor, Michael also actively participates in public speaking engagements, both in the start-up, Crowdfunding, EB-5, and business law arenas, and as an inspirational speaker to teenaged and young adult cancer survivors (as one himself) on finding post-treatment life success. Michael earned his J.D. from the University of Southern California, and his B.A. from the University of California, Los Angeles.
Samuel S. Guzik
Samuel S. Guzik has more than 35 years of experience as a corporate and securities attorney and business advisor in private practice in New York and Los Angeles, including as an associate at Willkie Farr and Gallagher, a major New York based international law firm, a partner at the law firm of Ervin, Cohen and Jessup, in Los Angeles, and in the firm he founded in 1993, Guzik & Associates. Mr. Guzik has represented public and privately held companies and entrepreneurs on a broad range of business and financing transactions, both public and private. Mr. Guzik has also successfully represented clients in federal securities litigation and SEC enforcement proceedings. Guzik has represented businesses in a diverse range of industries, including digital media, apparel, health care and numerous high technology based businesses. Guzik is a recognized authority and thought leader on matters relating to the JOBS Act of 2012 and the ongoing SEC rulemaking, including Regulation D Rule 506 private placements, Regulation A+, and investment crowdfunding. He has been consulted by Congressional members, state legislators and the U.S. Small Business Administration Office of Advocacy on matters relating to the JOBS Act and state securities matters. He is a frequent blogger on his blog, The Corporate Securities Lawyer Blog, addressing developing corporate and securities laws issues. In 2014 he published two major commentaries on JOBS Act rulemaking in The Harvard Law School Forum on Corporate Governance and Financial Regulation: the first article, entitled “Regulation A+ Offerings – a New Era at the SEC,” discussing the SEC’s proposed regulations implementing JOBS Act Title IV Regulation A+ (also accepted for publication in the Fall 2014 issue of the Texas Journal of Business Law); the second article is entitled “SEC Crowdfunding Rulemaking under the JOBS Act – An Opportunity Lost?” addressing deficiencies in the SEC’s proposed Title III investment crowdfunding regulations. Mr. Guzik also authors a regular column on Crowdfundinsider.com, The Crowdfunding Counselor, addressing JOBS Act issues affecting entrepreneurs, small and emerging companies, investors and Internet-based funding portals. His articles have been cited in national business publications on issues relating to federal securities regulation, including Bloomberg’s Businessweek, Compliance Weekly and Equities.com Mr. Guzik has also been a regular speaker on federal securities matters, including JOBS Act legislation. In January 2014 Mr. Guzik was invited to lead a Title III Investment Crowdfunding Roundtable in Washington, D.C. addressing proposed SEC rulemaking. The Roundtable was sponsored by the U.S. Small Business Administration Office of Advocacy and attended by financial industry leaders, and SEC and Congressional staff. Recently he was invited to speak at a Webinar with Congressman Patrick McHenry, a key sponsor of the JOBS Act, addressing opportunities and challenges created by the JOBS Act legislation and ongoing SEC rulemaking. He has also been invited to participate as a speaker and panelist at a Crowdfunding Roundable in May 2014 sponsored by the MIT Sloan School of Management, and was part of a panel discussing JOBS Act Regulation A+ at the Angel Capital Association’s 2014 Summit. Mr. Guzik is also a founding member of The Heritage Foundation Securities Regulation Working Group, focusing on federal regulatory issues affecting small businesses and emerging growth companies, including ongoing JOBS Act and Dodd-Frank SEC rulemaking. Healso serves as an inaugural member of the Advisory Council of the Crowdfunding Professional Association (CfPA), of which he is a member. He received a B.S. degree in Industrial and Labor relations from Cornell University and is a graduate of Stanford University Law School. He is admitted to practice in both New York and California.
Sydney Armani is a long time silicon valley entrepreneur, with more than twenty five years experience in Valley’s community acting in both an entrepreneurial and investing capacity. Sydney’s vision for starting and successfully managing innovative companies, like Hello Net A Mobile telephony appliance services on Minitel and Videotex A online a first generation of touch Screen tablets. His international experience in trade and International banking takes him around the world, projects with OPIC Overseas Private Investment Corporation for free trade with business engagement in Europe and UAE’s Dubai.
A creative person at heart, he’s working on building CrowdFunding platform Live Crowdfunding demo pitch contest building bridge for new generation of Startup’s in the Crowdfunding industry.
He has been an active speaker and moderator at conferences and plenary sessions on Real Estate crowd finance, capital markets, secondary liquidity, disruption in banking and a host of other topics. He has lectured at major universities such as Georgetown and Hult International business School, while authoring articles for or being interviewed by INC Magazine, Housing Wire, Forbes, Fortune, The Economist, amongst others.
Sydney is publisher of CrowdFundBeat.com, an online daily crowdfunding news site in US, Canada and UK. He is also the organizer of the annual Silicon Valley Meets Crowdfunders conference in Palo Alto, CA & CrowdFunding USA at National Press Club in DC.
Craig Denlinger is the managing partner of Artesian CPA and CrowdfundCPA.com, specialized in audits, reviews, and financial reporting matters for crowdfund offerings (Reg A+ and Title III), small businesses, and start-ups. With 20+ Reg A audit clients, we are the leading firm in these unique financial reporting requirements, with connections and know-how to ensure a smooth filing and qualification process. Our industry knowledge, SEC reporting experience, and industry connections set us apart as the industry leader for crowdfund accounting, audit, review, and SEC reporting matters.
Craig was previously an Audit Manager with Deloitte & Touche, where he led audits and financial reporting projects in the banking and securities industries and worked with many small businesses. He is an expert in audit, GAAP application, and SEC financial reporting requirements. Craig has a BBA in Accounting and Finance from the University of Iowa.
Craig Denlinger, CPA
Managing Partner | Attest Services
Affiliate of Artesian CPA, LLC
Office: 303.823.3220 | Mobile: 563.542.3381
1624 Market Street, Suite 202
Denver, CO 80202
Email: firstname.lastname@example.org | www.CrowdfundCPA.com
Crowdfund CPA is an affiliate of Artesian CPA, LLC, a registered certified public accounting firm.
A career banker, Steve has been on the forefront of applying technology to financial services, in particular, capital formation. Having co-founded and developed the first marketplace finance platform in 2000, he has evolved his experience into revolutionizing the housing finance industry as well as developing a best practice platform for private company reporting, a foundational building block for private secondary markets. Steve has been an active speaker and writer on topics of crowdfunding, alternative finance, secondary markets, social economics, and financial technology. He authored a much acclaimed research report on Real Estate Crowdfunding for Massolution, and recently was a contributing author on a soon to be published book on Crowdfunding for Sustainable Entrepreneurship and Innovation.
Roger Royse is the founder and owner of the Royse Law Firm, a 27-lawyer firm with offices in San Francisco, Silicon Valley and the Silicon Beach. Roger specializes in helping build great companies and his background includes work with prominent San Francisco Bay and New York City law firms.
Roger practices in the areas of corporate and securities law, domestic and international tax, mergers and acquisitions, and fund formation. Roger is also an adjunct professor at the Golden Gate University Law School Tax program (Corporate, International, Property Transactions) and is a frequent speaker, writer, radio guest, blogger and panelist for bar associations, CPA organizations, and business groups. Roger is a Northern California Super Lawyer, is AV Peer-Rated by Martindale Hubbell, and has a “Superb” rating from Avvo. Roger has been interviewed and quoted in the Chicago Tribune, Associated Press, Tax Notes, Nikkei Asian Review, Wall Street Journal, the San Francisco Chronicle, Reuters, The Recorder, 7X7 and Fast Company.
Roger is the author of the recently published Dead on Arrival: How to Avoid the Legal Mistakes That Could Kill Your Startup. Facebook page is at https://www.facebook.com/DeadOnArrivalBook
Co-founder, Homeier & Law, P.C.
Jor is a co-founder of VerifyInvestor.com, the resource for accredited investor verifications trusted by broker-dealers, law firms, companies, and investors who insist on safety and reliability. These verifications are required by federal laws for generally solicited Regulation D, Rule 506(c) capital raises. In addition, Jor practices corporate and securities transactional law in Los Angeles and is a founding shareholder of Homeier Law PC. Jor maintains a broad-based general corporate legal practice with an emphasis on mergers & acquisitions and finance. He is most well-known for his expertise in alternative finance, including EB-5 finance and crowdfunding, both industries where he is recognized as one of the foremost and influential transactional attorneys in the world. Jor is frequently sought out as a speaker internationally on the topics of capital raising, investing, EB-5 finance, securities, and other corporate matters relevant to attorneys, entrepreneurs, and investors.
Amy Wan, Esq., CIPP/US is Partner at Trowbridge Sidoti LLP (CrowdfundingLawyers.net), where she advises on syndication and crowdfunding law. Formerly, she was General Counsel at Patch of Land, a real estate marketplace lending platform. While there, Amy pioneered the industry’s first payment dependent note that is secured pursuant to an indenture trustee and designed to be bankruptcy remote, and advised the company on its $24.6M Series A funding round. She was recognized as a Finalist for the Corporate Counsel of the Year Award 2015 by LA Business Journal. Amy is also founder and co-organizer of Legal Hackers LA, and was named one of the one of ten women to watch in legal technology by the American Bar Association Journal in 2014.
Amy began her career as Presidential Management Fellow at the U.S. Department of Transportation, where she worked on U.S.-China transportation policy. She has also worked in enforcement and compliance at the U.S. Department of Commerce, where she represented the United States in delegations to the WTO and participated in free trade agreement negotiations on regulatory coherence and technical barriers to trade. Amy has also taught and spoken at SXSW, Practical Law Institute, and the American College of Mortgage Attorneys. She holds an LL.M. from the London School of Economics and Political Science, a JD from the University of Southern California Gould School of Law, and a BA from the University of Southern California.