February 2, 2023

Volume XIII, Number 33

Roland S. Chase

Roland is a Shareholder in the firm’s Corporate & Tax Group.  Roland’s practice area includes securities, mergers & acquisitions, private equity and corporate law.  Roland has extensive experience representing public and private companies in a variety of industries in all aspects of the offering, sale and purchase of securities.  During the first five and a half years of his career, Roland also represented some of the world’s leading investment banks as underwriters and agents in securities offerings.

Roland has advised and guided public companies, ranging from emerging growth companies to established multinational corporations, in complying with securities laws and regulations, corporate law and the listing standards and corporate governance rules of the New York Stock Exchange, Nasdaq and NYSE American.  His experience also includes advising executive officers, directors and significant shareholders of public companies on their reporting obligations and potential liability under the U.S. securities laws.

Selected representations include:

  • Represent a Nasdaq-listed franchisor of staffing services in its SEC reporting, corporate governance and other corporate matters.

  • Represent a Nasdaq-listed consumer finance company in its corporate governance, SEC reporting and corporate matters.

  • Represent a Nasdaq-listed manufacturer in its SEC reporting and corporate matters, and with respect to the securities law aspects of acquisitions.

  • Represent an OTC-quoted biotechnology company in its SEC reporting and corporate matters. Represented the company in preparing an underwritten public offering of equity securities and restructuring of its preferred securities, and in connection with a resale registration for the benefit of selling shareholders.

  • Represented an OTC-quoted food processor in the proxy process relating to the sale of substantially all of its assets.

  • Represented a privately-owned franchisor of staffing services in its reverse merger with a public company.  

  • Represented a private equity fund focused on real estate in its private placement of limited partnership interests. 

  • Represented a group of private equity funds focused on healthcare in their private placements of limited partnership interests.

  • Represented a group of private equity funds in the renewable energy sector in their private placements of limited partnership interests and with respect to a line of credit.

  • Represented a public company in its reverse merger sale to a European institutional financial services provider.

  • Represented a NYSE-listed South American steel manufacturer and two of its subsidiaries in their registered exchange offer for equity awards.

  • Represented the seller in the sale of a restaurant chain to a private equity group.

Articles in the National Law Review database by Roland S. Chase