Spiegel Securities Law & Business Law 

Representative Work

• acted for a Healthcare issuer in its acquisition of an IP portfolio and financing rounds totalling $20 million

• acted for a TSX-V-listed business in a merger of equals with another TSX-V-listed issuer by Plan of Arrangement

• advised the audit committee of a TSX/NYSE-listed issuer on whistleblower-related complaints

• represented an investment dealer in an IIROC-related compliance investigation

• counsel to a privately-held technology startup in a series of private placements aggregating US$32 million

• acted for a Wall Street investment dealer on its divestiture of Canadian-held assets

• represented the agents and underwriters on prospectus offerings and private placements aggregating over US$1 billion

• acted for the head of compliance and management in an enforcement proceeding 

• acted for a listed mining issuer in negotiating a cooperation agreement with First Nations for a JV build project

• acted as special corporate counsel on corporate and securities disputes and related litigation​

• represented the Vendor group of a private issuer on its acquisition by an NYSE-listed multi-national corporation

• acted for issuers in listing on the TSX, TSX-V, LSE Main Board, and Nasdaq National Market

• mediated  numerous C-Suite disputes and negotiated related settlements

• represented an issuer cease-traded by the OSC for a mining report deficiency,  and settling the release terms

• represented Canadian members of the Board of NYSE issuer subject to SEC sanctions and the qualification of PIFs