Associate
Practice Areas
Noteworthy Experience
- $25 million revolving credit facility for a global retailer
- $7.5 million sale of controlling interest in OTC-listed business software company
- $11 million asset sale with concurrent re-investment in acquiring LLC
- $10 million convertible debt financing
- Reverse shell merger and follow-on PIPE for OTC listed stored-value card company
- $5 million PIPE transaction followed by filing of SB-2 registration statement
- $8 million recapitalization of 1940 Act registered investment advisor
- SEC compliance and reporting
- 1940 Act compliance for $25 million hedge fund
Education
- University of Missouri (J.D., 1994)
- University of Kansas (B.A. English literature, 1991)
Professional Affiliations and Admissions
- Former Senior In-House Counsel for Publicly-Traded Financial Services Company
- Board of Directors, McAlister Institute
- Member Southern California Compliance Group
- Member San Diego County Bar Association
Publications and Speaking Engagements
- "Negotiating the Buyer's Right to Terminate an Acquisition Agreement Post-Cerberus" From the Desk of John P. Cleary, Esq. (May 29, 2008)
- "Clogging the PIPEs: The SEC Cracks Down on "Death Spiral" Convertibles" From the Desk of John P. Cleary, Esq. (February 02, 2008)
- "Who controls and benefits from fire insurance policy proceeds?"
San Diego Daily Transcript (December 12, 2007) - "What’s In a Name? The Use of Unregistered Finders in Private Offerings" (publication pending)
- "Mortgage Lenders on the Front Line: Part Deux" (publication pending)
- "When the American Dream Turns Into a Nightmare: A Suitability Standard Will Soon Govern the Mortgage Industry," Mortgage Business Consulting, Coursebook (2007)
- "Why Not Take All of Me? Management Suffers in Down Round Financings," The Tech Sector (2003)
- "Back Door Plan: The Perils of Reverse IPOs," The Tech Sector (2002)
- "Putting Confidence in our Public Markets," The San Diego Union-Tribune (June 13, 2002)
- "Protecting the Public, Not Anyone's Turf: The Unlicensed Practice of Law by 'Arbitration Specialists' in Securities Arbitration," 26 Pepp. L. (April 1999)
- "Filling Mastrobuono's Order: Punitive Damages Upheld in Securities Arbitration," 52 Bus. Law. 199 (Nov. 1996)
- "NASD Arbitration Policy Task Force Ensures Punitive Damages Will Be Enforced," PLI Coursebook (1997)
- "Broadening the Scope of Arbitrable Disputes: Spear Leeds," PLI Coursebook (1997)
