Private Placements Expert in Series A Funds

Case Description:

A private placements expert in series A funds was needed for an action alleging negligence and fraud. Plaintiffs were series A investors in a start up company that was engaged in trying to perfect a proprietary catalytic converter technology. After the start up company raised series A funds via a private placement, it failed to follow the strategy outlined in the Private Placement Memorandum. The start up effort failed and the company folded. Investors claimed they were defrauded and that the company was negligent in assembling the Private Placement Memorandum.

IMS ExpertServices was asked to locate private placement experts experienced in raising series A funding for start up companies who could opine on private equity finance and the methodology used to identify and qualify investors.

Experts Presented:

  • Corporate Finance Expert

    This expert has extensive experience in private placements and IPOs. He’s been involved with corporate finance teams that have raised approximately $300 million in capital through private placements or public offerings. He’s served on the Boards of public and venture-backed companies and has experience drafting and reviewing PPMs. A 27-year veteran of the securities industry, this expert started his career at NASD, where he served on an anti-fraud task force and as supervisor of examiners. Later he worked at a number of firms managing investments research and corporate finance. He holds several SEC licenses and is an experienced expert witness. IMS Reference #1216009

  • Investment Banking Expert

    This private placements expert served as founding partner of several investor relations and investment banking firms, where he specialized in corporate development. In this capacity he coordinated private placements, private equity offerings, and initial public offerings for over 30 clients. His expertise includes series A funding and he has overseen the drafting of Private Placement Memorandums. A former member of the American Stock Exchange Arbitration Panel, his expertise in corporate finance activities has been well documented for over two decades. IMS Reference #456313

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Industry: All, Banking, Finance, Securities