Related Professionals
READING, PA, December 17, 2014 – Stevens & Lee Shareholders David W. Swartz and Sunjeet S. Gill presented at the BDO 2014 Pennsylvania Banking Seminar held December 9, 2014, in King of Prussia, PA.
Messrs. Swartz and Gill provided a legal and regulatory update, with information on the SEC Disclosure Effectiveness Initiative and the SEC Forum on Small Business Capital Formation, updates on cybersecurity and developments regarding Dodd-Frank and the JOBS Act.
Mr. Swartz is Chair of the Financial Institutions Group and Co-Chair of the Corporate, Finance and Capital Markets Department at Stevens & Lee. For more than 30 years, Mr. Swartz has focused his practice on the representation of public company clients in corporate matters, capital formation, securities law compliance, mergers and acquisitions, regulatory issues, change-in-control and shareholder activism issues and corporate governance matters.
Mr. Swartz has represented private and publicly traded financial institutions in more than 50 acquisitions involving banks, insurance and securities brokerage operations and registered investment advisors. He has served as counsel to the issuers in public and private capital markets transactions totaling more than $5 billion.
Mr. Gill, a Shareholder with Stevens & Lee, focuses his practice on mergers and acquisitions and corporate finance matters for clients in various industries, including financial services, telecommunications and manufacturing. He represents clients such as business enterprises, including foreign-owned companies, merchant banking and investment banking firms, financial sponsors,executives, shareholders, boards of directors and special board committees in such capacities as purchasers, sellers, lenders and financial advisors. He also assists clients in both routine corporate matters and complex regulatory and transactional issues, including fiduciary duties, general takeover and takeover defense advice and proxy contests.
Mr. Gill assists clients with bank charter conversions and equity and debt capital market transactions, such as initial public offerings, SEC-registered secondary offerings, private placements and registered and exempt debt issuances. He also advises corporate clients on a wide variety of U.S. securities laws and general corporate and regulatory matters, including compliance with and reporting under the Securities Act, the Securities Exchange Act, the Sarbanes-Oxley Act, the Dodd-Frank Act of 2008 and the rules and regulations of various self-regulatory organizations such as the NYSE, NASDAQ, AMEX and FINRA.
