John O’Leary

SEC Counsel

John O’Leary is an Associate within our Securities Law Group. His experience includes assisting private companies going public through underwritten IPOs, self-filings and reverse mergers. John’s practice also includes such matters as debt and equity financing, PIPE transactions, general corporate governance and compliance with the reporting requirements of the Securities Exchange Act of 1934, including preparation of annual, quarterly and current reports.

In addition, John worked as in-house counsel for a full service brokerage firm where he represented the firm in retail litigation and led the filing of responses to state and federal regulatory inquires pursuant to the self-regulatory rules of the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Chicago Board Options Exchange and state securities regulators.

John is admitted to practice in New Jersey, New York and Pennsylvania.