Richard W. Jones

Firm: Jones & Haley
Practice Area: Securities
Country: Georgia, USA

Email:

ric*****@****law.net

750 Hammond Dr., Building 12, Suite 100, Atlanta,, GA 30328.

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About Richard W. Jones

Mr. Jones concentrates his practice on securities matters, such as public offerings, IPO’s, private placements, SEC compliance, broker/dealer and investment adviser regulation and hedge funds.

Much of Mr. Jones’ practice is devoted to mergers and acquisitions, and he has represented many clients in connection with their purchase or sale of a business, utilizing the optimum format for each transaction.

As a corporate lawyer, Mr. Jones also represents clients in the daily operation of their business in counseling on general corporate matters such as formation of a business, choice of business entity, and general operational issues.
Mr. Jones is the author of articles and a speaker on topics related to his areas of legal expertise.
Over 30 Years of Legal Practice and Experience:

Partner with Jones & Haley, 1991 – Present
Securities Chair – Hurt, Richardson, Garner, Todd & Cadenhead, 1989 – 1991
Securities and Exchange Commission – Division of Enforcement, 1981 – 1983
Hearing Officer for the Georgia Commissioner of Securities, 1990
Arbitrator for the National Association for Securities Dealers, Inc.
Special Adviser to Georgia Secretary of State on Georgia Investment Adviser Legislation, 1987 – 1988
Ernst & Whinney, Tax Department, 1979 – 1981

Representative Experience:
Securities Offerings

Represented software and hardware company in a $4,312,500 IPO of common stock.
Represented electronics manufacturer in a $3,000,000 IPO of common stock.
Represented restaurant franchisor in a $9,200,000 IPO of common stock.
Represented insurance company in the public offering of $10,000,000 in bonds.
Represented oil and gas producer in public offering of $2,000,000 in common stock.
Represented commercial developer in public offering of $13,800,000 in common stock.
Represented developer in $14,000,000 partially designated blind pool public offering.
Represented lender in private placement of $1,000,000 in limited partnership units.
Represented magazine publisher in $600,000 private placement of common stock.
Represented book publisher in $400,000 private placement of common stock.
Represented medical device manufacturer in $2,175,000 private placement of common stock.
Represented office developer in $5,500,000 private placement of limited partnership units.
Represented restaurant franchisor in $2,625,000 private placement of common stock.
Represented oil and gas producer in $2,100,000 private placement of limited partnership units.
Represented education company in $10,040,000 private placement of common stock.
Represented mortgage company in $7,400,000 private placement of preferred stock and subordinated notes.
Represented photographic equipment and software manufacturer in $4,000,000 private placement of common stock and warrants.

Mergers and Acquisitions

Represented public telecommunication company in a spin-off of a subsidiary to its shareholders.
Represented private company in the reorganization of its nursing home business.
Represented Atlanta’s largest residential mortgage company in its sale to a national bank (Stock sale).
Represented owners of a private software company in the sale of their business to Microsoft (Stock sale).
Represented public company in the acquisition of an oil and gas company (Stock sale).
Represented private book publisher in the sale of its business to media conglomerate (Stock sale).
Represented private personnel company in the sale of its business to a public company (Asset sale).
Represented construction company in the sale of its business to a public electric utility (Stock sale).
Represented public Israeli company in the acquisition of pharmaceutical testing company (Stock purchase).

Securities Regulatory

Represented numerous public companies in making their required regulatory filings with the SEC – 10-K, 10-Q, 8-K’s.
Represented publicly traded companies in delisting hearings before the National Association of Securities Dealers, Inc.
Represented companies in obtaining their listing on the OTC Bulletin Board.
Represented public company in obtaining stock exchange listing.
Represented private companies to become public reporting companies.

Hedge Fund

Represented Fund of Funds Hedge Fund in a private placement of member shares.
Represented Tax Exempt Bond Hedge Fund in a private placement of member shares.
Represented Real Estate Hedge Fund in a private placement of member shares.
Represented public equity Hedge Fund in a private placement of member shares.
Represented Natural Resource Fund in a private placement of member shares.
Represented Venture Capital Fund in a private placement of member shares.
Represented Venture Capital Fund in investments in portfolio companies.
Represented Venture Capital Fund in the sale of the fund to a public company (Stock sale).
Represented PIPE hedge fund in a private placement of its member shares

Broker/dealer – Investment Adviser

Represented broker/dealer in arbitration hearing before the Municipal Securities Rule Making Board (MSRB).
Represented broker/dealer registered in 40 states in a sale of its business (Stock sale).
Represented broker/dealer and registered representatives in arbitration proceedings before the NASD (FINRA).
Represented company in the acquisition of a broker/dealer licensed in 35 states.
Represented Investment Adviser in the sale of its business.
Represented Investment Adviser in joint venture with accounting firm.

Securities Investigation

Represented broker/dealer in an investigation conducted by 14 state Commissioners of Securities.
Represented broker/dealer in investigation by the NASD and NYSE.
Represented private company in investigation and cease and desist hearing by the Georgia Securities Commissioner.
Represented registered representative in investigation conducted by the SEC.

Education:

University of Tennessee, College of Law, Doctor of Jurisprudence, 1979
University of Tennessee, Graduate School of Business Administration, MBA Accounting, 1979
University of Tennessee, College of Business Administration, BS Accounting, 1976

Professional Licensing:

State Bar of Georgia, 1983
State Bar of Tennessee, 1979
Passed Certified Public Accountants Examination, 1980
Admitted to practice Tennessee Supreme Court, 1979
Admitted to practice Georgia Supreme Court, 1983
Admitted to practice U.S. District Court, 1992
Admitted to practice U.S. Circuit Court, 1994

Organizations:

Tennessee Bar Association
State Bar of Georgia
Lawyer’s Club of Atlanta
Atlanta Bar Association
Phi Alpha Delta Legal Fraternity

Community Activities:

DeKalb Hospital Authority, Board of Directors
Dunwoody Homeowner’s Association, President, Board of Directors
Dunwoody Preservation Trust, Founder, Officer, Board of Directors
Brook Run Conservancy, Inc. – Secretary
Georgia Chapter of International Association for Financial Planning – Regulatory Chairman – Board of Directors

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