At a Glance
Steven Suozzi is an Associate in the Business and Finance Department. He concentrates his practice in corporate finance, mergers and acquisitions, corporate law and governance, securities law and other business-related legal matters.
Steven has represented public and private companies in a variety of legal matters, including the private offering of securities, SEC periodic reporting and compliance requirements, matters relating to the Investment Advisers Act, compliance with federal and state banking laws, and commercial lending transactions.
Steven has also represented individuals and privately-held companies in connection with mergers, acquisitions and divestitures, joint ventures, recapitalizations and other similar equity arrangements.
Steven has assisted clients in drafting and reviewing general contract and commercial documents, including agreements with customers, suppliers, employees, and consultants. He has also aided clients on various business-related succession planning matters, including drafting operating agreements, shareholders agreements, and other related buy-sell arrangements.
Steve received his J.D. from Cornell Law School in 2015, and his B.S. in Business Administration from the University of Dayton in 2011.
- J.D. Cornell Law School
- B.S. University of Dayton
- New York State
Key Representative Matters
- Represented startup company in raising an aggregate of $2.4 million in equity financing pursuant to issuer-led private placement offerings with cross-border investors.
- Counsel to several startup companies in successful issuer-led convertible promissory note private offerings .
- Represented multiple startup companies and investors in Series Seed and Series A round equity investments.
- Counsel to client in connection with $150 million redemption and sale of equity interests through private purchase and sale transaction.
- Represented purchaser entity in $7.6 million private asset purchase transaction.
- Counsel to client in connection with $30 million stock purchase agreement.
- Represented seller entity in $1.1 million private asset sale transaction.
- Represented state and federal banks with mergers, acquisitions, divestitures, and various compliance matters.
Steven is a member of the Monroe County Bar Association and the New York State Bar Association.
- NEW YORK CYBERSECURITY RULES – PHASE 3 IMPLEMENTATION
- INVESTMENT MANAGEMENT UPDATE: ADVERTISING RULE COMPLIANCE IN INVESTMENT ADVISER EXAMINATIONS
- CUSTODY RULE UPDATES; RECENT SEC STAFF GUIDANCE FOR INVESTMENT ADVISERS
- 6-28-17 CHECKLIST TO AVOID LIABILITY IN THE EVENT OF A CYBER ATTACK
- 12-22-16 SEC ADOPTS AMENDMENTS TO FORM ADV AND BOOKS AND RECORDS RULE