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Overview

Jim Prestiano has more than 25 years of experience advising public and private companies in complex securities, corporate, regulatory and commercial litigation matters. He has extensive experience advising clients on corporate governance, business entity formation, capital market transactions, mergers and acquisitions, SEC filing and reporting obligations, proxy statements, regulatory and compliance, government investigations and other general corporate matters.

On the capital markets side of his practice, Jim focuses on representing foreign and domestic issuers, underwriters and investors in a broad range of public and private securities transactions. His practice includes advising clients in connection with public offerings, private offerings, SPACs at the IPO stage and business combinations transactions. Additionally, Jim advises public companies with respect to ’34 Act reporting requirements, corporate governance matters, stock exchange rules and ongoing securities law compliance.

 

Earlier in his career, Jim was a staff attorney at the U.S. Securities and Exchange Commission. In this role, he conducted investigations of potential violations of federal securities laws, administered investigative testimony, subpoenaed documents, and reviewed registration statements, periodic corporate filings and other SEC filings for sufficiency and accuracy of disclosure.

Education

  • St. John's University School of Law, J.D.,

    Research Editor, Journal of Civil Rights and Economic Development

  • St. John's University, B.A., cum laude

Court Admissions

  • U.S. District Court for the Southern District of New York
  • U.S. District Court for the Eastern District of New York

Bar Admissions

  • New York

Affiliations

  • Member, New York State Bar Association
  • Member, Suffolk County Bar Association
  • Member, Association of U.S. Securities and Exchange Commission Alumni