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Donald G. Davis, Esq.

Practice Areas:  Investment Advisers & Broker-Dealers Regulation and Compliance, Securities Law, Contract Law, Corporate Law, Mergers & Acquisitions, Private Placements, Syndications, Crowd Funding, Regulation A Offerings, Going Public, Officers & Directors Responsibilities, 34 Act Reports,  Off Shore Transactions,  Business Litigation, Entertainment Law, White Collar, SEC defense, and other Business Law Areas

Admitted:  1970, California; United States District Court for the Central District of California

Law School:  University of Southern California, Gould School of Law, Los Angeles

Order of the Coif, Executive Editor, USC Law Review, First In Class.

Member:  State Bar of California

Biography:

Donald G. Davis has successfully represented clients in numerous securities cases and investigations drawing upon his 40 years of experience. His practice focuses on all aspects of securities regulations and litigation. He represents members in the investment advisory and brokerage industry in private litigation, regulatory investigations and examinations as well as regulatory enforcement actions. He has represented numerous advisers in enforcement matters before the SEC, FINRA and state regulatory agencies. He has represented many clients that were under regulatory scrutiny by the SEC, FINRA, and state regulators. He also advises clients regarding private placements and public securities offerings. He is a frequent speaker at securities conferences and has been retained as a consultant to testify as an expert on securities matters.

Donald G. Davis has experience negotiating Business Transactions and Contracts, Corporate Law, and experience handling Mergers & Acquisitions, Turn arounds, Corporate Cleanup and Reorganization (insider and outside of Chapter 11), Offshore Transactions, Technology Companies, Syndication, Licenses & Transfers, Real Estate Syndication, Ag/Business Financing, Oil & Gas, Entertainment, Mutual Fund Organization and Regulation, Broker-Dealer Market Makers, Sarbanes Oxley Issues, The Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Act of 1940, and the Investment Advisers Act.

Professional Recognition:

Donald G. Davis is a “SOUTHERN CALIFORNIA SUPER LAWYER”, so designated by his Peers, and is rated  "AV" legal ability, which means that his legal skills are classified as "VERY HIGH TO PREEMINENT" and his ethics are classified as "HIGHEST INTEGRITY" according to the Martindale Hubbell Directory of Attorneys.  Mr. Davis is also listed in Who's Who in California, Who's Who in the United States, Who's Who in the World, Most Acclaimed Securities Attorney 2017 – California, (Business Innovator Awards); and many other awards.

Chairman: L.A. County Bar Business and Corporate Law Section (also Treasurer, Secretary & Program Chair)

Law Professor: Southwestern University Law School, (teaching Securities & Corporate Law)

Chairman: Southern California Securities Law Forum (jointly sponsored by the SEC, the Los Angeles County Bar, and the CPA Society)

Externship Faculty Chair: USC Law School, UCLA Law School, Loyola Law School, Southwestern University Law School.

NASD Arbitrator (now FINRA)

Securities Lawyer with O’Melveny & Myers (1970s)

Public Auditor: PriceWaterhouseCoopers (1960s)

Presentations/Speaking Engagements:

Prominent Speaker across the Country and Offshore On Securities & Corporate Law topics (CrowdFunding, Sarbanes Oxley, Mergers & Acquisitions; Duties of Outside Directors; Duty of Audit Committee Directors; Formation of Small Business Investment Companies; Private Placements and Syndications; Reverse Mergers; Mutual Fund Formation; etc.)