Bio

Ernest Stern’s Corporate and Securities practice includes the representation of public and private emerging companies, many of which are technology based. Ernest assists these clients in their growth plan starting with their formation in the appropriate form of entity, a capital structure to accommodate growth, shareholder agreements and stock option plans, assisting them with financings to accelerate their growth through venture financing in the form of private placements with high net worth individuals or Angel financing, institutional venture capital, crowd funding, PIPE investments, Regulation A+ financings, IPOs and reverse mergers. He also represents venture capital firms in their investments in early-stage companies. Additionally, he advises companies in domestic and cross-border mergers and acquisitions of public and private companies and has extensive experience in advising on SEC and FINRA compliance issues having served as General Counsel and compliance officer of a FINRA registered broker/dealer. Ernest handles all filings of public companies under the SEC rules and regulations under federal securities laws.