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Hedge Funds and Venture Capital

Representation of Broker-Dealers and Registered Persons



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Joan W. Adler, Esq.
jadler@shufirm.com
212.688.5900 ext. 235
Practice Areas
  • Securities Transactions including Public and Private Offerings
  • Broker-Dealer Registrations and Compliance
  • State Securities or "Blue Sky" Law
  • Hedge Fund Formation and Compliance

Ms. Adler, based in the Firm's New York office, specializes in securities matters, including the preparation of documents relating to private and public offerings and compliance filings with the Securities and Exchange Commission and state "Blue Sky" requirements, National Association of Securities Dealers membership, hedge fund formation and compliance with the National Futures Association and Commodities Futures Trading Commission, and corporate formation and governance. She is a liaison for several nationally recognized law firms providing them with state securities or "Blue Sky" expertise.

Background:
Ms. Adler has held a variety of professional titles including corporate consultant and lobbyist, professional recruiter, investor relations specialist and corporate secretary. She has been affiliated with the Firm since 1999 and was admitted to practice law in New York in 2000.

Educational Background:
Queens College, City University of New York; BA, cum laude, 1980, Communications Arts and Sciences; Washington College of Law, American University; JD, 1983, member of Law Review.

Professional Associations:
New York State Bar Association
Nassau County Bar Association
Admitted to the New York Bar 2000

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New York Office
400 Park Avenue, 14th Floor
New York, NY 10022
tel: 212.688.5900
fax: 212.688.6151

California Office
401 West "A" Street, Suite 2330
San Diego, CA 92101
tel: 619.696.9500
fax: 619.615.5290
Eureka Office
701 5th Street, Suite 300
Eureka, CA 95502
tel: 707.268.0600
toll free: 888.748.8748
fax: 707.268.0800


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