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Eric provides counsel to emerging and well-established hedge, private equity, and venture capital fund managers, broker-dealers, and other financial services clients on fund formation, compliance, and transactional matters, including trading issues, operations, disclosures, and regulatory filings.
Experienced in a broad range of global compliance issues, including Investment Adviser Act requirements, fund-related regulations, and blue sky compliance, Eric frequently reviews offering materials to ensure proper federal and state securities law disclosures. He supports clients in the preparation and filing of the Form D with the SEC and with state securities law analysis, including relevant exemptions and required state blue sky notice filings.
Eric also guides clients in the review of their marketing and investor reporting collateral for compliance with the SEC’s marketing rules.
With a deep background in the financial industry, Eric formerly served as Compliance Director and Regulatory Counsel at Guggenheim Partners, LLC, a global investment and advisory financial services firm. He has guided investment advisers and broker-dealers on potential conflicts of interest with certain corporate issuers, securitized vehicles, and investment vehicle transactions; reviewed and enhanced processes for cybersecurity, ethics, and other compliance areas; and managed FINRA and SEC regulatory filings, as well as NFA and SEC examinations.
He is also an adjunct professor at Fordham University’s Gabelli School of Business, where he teaches a course on financial modeling.