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Tim Platt M&A Director
Office:	Concord, NH
Phone:	603.410.1500
Fax:	60.410.1501
Email:	tplatt@preti.com
vCard:	Download Tim's vCard

Tim has worked in the securities field for a total of more than 15 years.  His securities experience includes roles as a registered securities principal of a registered broker/dealer under the 1934 Act; general counsel of a NYSE-listed public company; and as outside general counsel to several public and private companies.  

As a corporate legal advisor with PretiFlaherty, Tim represents public and private companies regarding periodic reports, corporate governance, M&A, capital formation, and other matters.  His high-value advice and judgment benefits from having managed businesses and been responsible for making final disclosure decisions for SEC reports, NASD compliance, and reports and filings with State regulators – an advantage that few technical experts can claim.

Tim's relevant background is summarized below:

• PretiFlaherty—M&A Director, securities counsel, and business advisor
  
• Chemfab Corporation, a global engineered polymers company formerly listed on NYSE and traded under the symbol, CFA.  As one of only a few corporate vice presidents, in addition to being general counsel, Tim led strategic planning and corporate development for the company, and managed the company's '34 Act SEC filings and news release management.
  
• AreteCapital Group, a regional boutique investment bank registered with NASD and a member of SIPC that specialized in private capital formation, MBOs and other M&A transactions, and corporate finance.  As a registered securities principal, and as an executive with a few of the firm's portfolio companies, Tim regularly advised companies on compliance with the '33 Act, and co-managed the firm's NASD compliance and state law filings.
  
• Orr and Reno, P.A., a New Hampshire law firm.  Over the course of 15+ years, Tim represented numerous companies with federal and state securities matters, ranging from (i) with the SEC-- periodic reports to Sections 13 (Williams Act/takeovers), 14 (proxy matters) and 16 (Insider Trading) to Rule 144 issues; (ii) with state regulators:  Lloyd's administrative proceedings where Lloyd's insurance policies were securities; blue sky filings for bond offerings, private placements, and private placements; broker-dealer and registered representative licensing and compliance; and enforcement actions by state regulators against B/Ds and registered reps; and (iii) federal court civil litigation: in proxy contests, disclosure litigation and other 10b-5 actions

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