Thomas More Griffin

Thomas More Griffin has extensive experience in Mergers and Acquisitions, Public Companies, Securities Law, Venture Capital/Hedge Funds, and General Corporate Law.

Georgetown University Law Center (J.D., 1984)
Editor, Georgetown Law Journal

Georgetown University (B.A., magna cum laude, 1979)

State of New York 1985

United States District Court for the Southern District of New York, 1985

United States District Court for the Eastern District of New York, 1985

Member, Association of the Bar of the City of New York
Federal Legislation Committee (1991-1994)

Volunteer, Development Office, Central Park Conservancy (1996)

Member, Board of Governors, Georgetown University (1991-1995)

Chairman, Junior Committee, American Ballet Theatre (1993)

Chairman of the Board and President, 21 Monroe Housing Corp. (1986-1996)

Counsel, The Fund For Dance, Inc. (1992-1994)

Counsel, Foundation For The Joffrey Ballet, Inc. (1989-1991)

"Impact of White House Proposal to Restrict Size and Scope of Banks," Corporate & Finance Alert, January 27, 2010 (Lawrence Cohen, Thomas More Griffin)

"Know Your SEC Reporting Positions:
SEC Gives Interpretive Advice and Guidance on Sections 13(D) and 13(G) of the Securities Exchange Act of 1934, as Amended," Corporate & Finance Alert, November 3, 2009

"Business Development Companies Selling Shares in Public Offerings to Raise Money to Invest In and Acquire Distressed Middle Market Companies," Corporate & Finance Alert, September 8, 2009

"SEC Proposes Rule Amendments to Facilitate Rights of Shareholders to Nominate Directors," Corporate & Finance Alert, August 4, 2009

"FINRA Sets Rules on Private Placements by FINRA Member Firms," Corporate & Finance Alert, August 4, 2009

"SEC Approves NYSE Rule Change Eliminating Broker Discretionary Voting for the Election of Directors," Corporate & Finance Alert, August 4, 2009

"SEC to Act on Short Selling: Much Ado About Something," Corporate & Finance Alert, June 2, 2009

"FASB Adopts Statement No. 157 -- Fair Value Mark-to-Market Rules," Corporate & Finance Alert, May 5, 2009

"Financing Available in Distressed Markets: Alternatives When Bank or Government Bail Out Funds Are Not Available," Corporate & Finance Alert, April 7, 2009

"Business Development Companies (BDCs): On the Cutting Edge of Alternative Capital in Distressed Markets," Corporate & Finance Alert, April 7, 2009

"A Run on Hedge Funds: Redemption Strategies and Responses," FINalternatives, December 30, 2008 (Lawrence Cohen, Thomas More Griffin)

"A Run on the Hedge Funds: Redemptions -- Strategies and Responses," Corporate & Finance Alert, December 16, 2008 (Lawrence Cohen, Thomas More Griffin)

"Up Periscope: Guidance on Underwater Stock Options," Corporate & Finance Alert, December 9, 2008

"Director Independence: NYSE and NASDAQ Amend Rules," Corporate & Finance Alert, November 4, 2008

"Auditor's Assessment of and Responses to Risk: Public Company Accounting Oversight Board (PCAOB) Proposes New Auditing Standards," Corporate & Finance Alert, November 4, 2008

"SEC Adopts Rule 10b-21 and Amendments to Regulation SHO to Address "Naked" Short Selling and Fail to Deliver Scenarios," Corporate & Finance Alert, October 21, 2008

"Follow Up: SEC Extends Short Selling Ban Rules," Corporate & Finance Alert, October 7, 2008

"SEC Halts Short Selling and Imposes Reporting Requirements to Address Market Turmoil," Corporate & Finance Alert, October 1, 2008

"Venture Capital Firms to Benefit from Proposed Revisions of SEC Rules for Smaller Companies," Financier Worldwide Magazine, November 2007 (Thomas More Griffin, Myriam Rastaetter)

"Recent Federal Securities Law Developments Affecting Smaller Public Companies," August 2007 (Lawrence A. Goldman, Thomas More Griffin, Brian DiBenedetto, Myriam Rastaetter)

"Sarbanes-Oxley Act and New NYSE and NASDAQ Listing Requirements: Consequences for Private Equity and Mergers and Acquisitions Transactions," Aspen Publishers Corporation, May 15, 2007 (Thomas More Griffin, Mark S. Kuehn)

"An Overview of Business Development Companies (BDCs) Under the Investment Company Act of 1940," March 2007

"The Convergence Between Private Equity and Hedge Funds," originally published in the December 2005 issue of Financier Worldwide Magazine, December 1, 2005

"Prime Due Diligence for Second Lien Lending," The Business Advisor, May 26, 2005

"SEC Adopts Significant Securities Offering Reforms," Reprinted with permission from: Inside Newsletter, Winter 2005, Vol. 23, No. 3, published by the New York State Bar Association, One Elk Street, Albany, New York 12207, Winter 2005 (Thomas More Griffin, Brian DiBenedetto)

"Sarbanes-Oxley Act and New NYSE and NASDAQ Listing Requirements: Consequences for Private Equity and Mergers and Acquisitions Transactions," January 7, 2004 (Thomas More Griffin, Mark S. Kuehn)

"SEC REPORT - The Implications of the Growth of Hedge Funds," Corporate & Finance Alert, October 14, 2003

Speaker, The Banking Law Section of the New Jersey State Bar Association, "Mezzanine and Second Lien Lending," June 19, 2007

Chair, American Bar Association Section of Business Law Spring Meeting, "Business Development Companies under the Investment Company Act of 1940" Washington, DC. March 15 - 18, 2007

Speaker, 2006 Alternative Investing Summit: Absolute Return Ponte Vedra Beach, FL. April 26 - 28, 2006

Chair, American Bar Association's Annual Business Law Spring Meeting "Business Development Companies under the Investment Company Act of 1940" Washington, DC, March 15 - 18, 2007

Speaker, New York Institute of Credit - 26th Annual Credit Program "Alternative Financing" New York, New York, May 17, 2005

Speaker, NYU 2005 Entrepreneurship Conference "Innovation and Competitive Advantage: Conceiving and Protecting the Big Idea" April 16, 2005

AV® Peer Review Rated by Martindale-Hubbell

Mergers and acquisitions counsel to an international jewelry manufacturer based in Long Island City, New York, with locations in Costa Rica, India and Thailand.

Counsel to a $1.8 billion investment fund based in New York with funds in the British Virgin Islands. The investment focus of the Alexandra funds is primarily convertible arbitrage.

Counsel to an investment banking firm located in New York City that has an investment portfolio of several hundred companies and provides consulting and advisory services. It has engages in venture capital, leveraged and management buy-outs.

Counsel to a public company that offers storage and delivery service for owners and distributors of digital content to movie theaters and other venues in its acquisition of a provider of broadband video, data and Internet transmission and encryption services.

Counsel to large commercial bank in trading of distressed loan portfolio debt.

Counsel to public company in connection with private placement/PIPES transactions.

Counsel to British Virgin Islands-based $300 million private investment fund in converting the fund into a "master-feeder" structure and in creating Asian sub-fund.

Counsel to $100 million (revenues) operator of assisted living facilities in acquisitions, divestitures, financings, restructurings and corporate matters.

Counsel to $60 million (revenues) government contracts company in restructuring its debt and in closing its acquisitions of other companies.

Representation of medical devices manufacturer in sale of company to strategic buyer in $50 million transaction.

Counsel to private investment firm in purchase and restructuring of $25 million unsecured debt instrument with Guangdong Investment Limited in Guangdong Province, China.

Representing leveraged buy-out group in purchase of assets of trophy parts manufacturer and distributor in $20 million transaction.

Counsel to private investment firm in purchase of $16 million loan portfolio from Japanese bank and California bank.

Counsel to acquisition fund in purchasing and financing $10 million (revenues) film production company.

Representing private equity fund in purchase of $10 million in equity of public company (games manufacturer) in PIPEs transaction.

Counsel and securities counsel to publicly-traded alternative energy company.

Counsel to small business investment companies on acquisitions, financings, liquidations, and SBA regulatory issues.

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