Objective: To find a fulfilling career that makes the best use of my skills as part of a management team with the opportunity to become involved in complex business, financial and legal issues. Experience Owner & CEO
Operation of Law Offices & Consulting Firm
1982-1989, 1991-1995 and 1995 to Date
Responsible for inventory control, budget preparation and management, company P&L, contract negotiations, document preparation, cash flow analysis, employee interviewing and hiring, employee orientation, client interviewing, consultation and advice, financial and legal analysis, investigation, research, planning company and client objectives.
> Completed initial IPO documents for two new issue companies.
> Accomplished a complex tax law legal opinion regarding tax sheltered investments.
> Located birth parents of an adopted person through detailed analysis and creative research.
Judicial Legal Advisor And Assistant
State of Tennessee
Sixth Circuit Court for Davidson County
1989-1991
Performed legal research and produced legal briefs, opinions and orders. Provided review and summaries of research, briefs, opinions and orders when prepared by others, then rendered analysis and recommendations for the judge. Dispensed rapid research and analysis, with comments, to judge during trials and motion hearings. Rendered orientation for parties, witnesses, jurors and legal counsel to court procedures, proceedings and requirements.
> Prepared a legal opinion regarding complex fire insurance claim involving numerous fact and legal issues.
> Produced a policy and procedure type manual for anew judge on precedents and unpublished standing court rulings of which there had been no previous compilation.
Chief of Securities Regulation
State of Tennessee
Securities Division
1973 to 1982
Responsible for inventory control, budget preparation and implementation, employee interviewing and hiring, document and legal opinion preparation. Supervised a professional and support staff of 25. Provided legal and economic analysis of IPOs and complex tax sheltered investments for securities law compliance. Furnished training for financial analysts and auditors. Conducted and supervised dealer and issuer financial examinations and analysis. Coordinated actions with the US Securities & Exchange Commission and sister state regulatory agencies.
> Created, chaired and coordinated an advisory committee that rewrote the states securities law and regulations.
> Improved efficiency and productivity by reorganization of the division.
> Co--planned and implemented a regional administrators conference and a statewide securities dealers conference.
> State representative to and contact person for a national and two regional securities administrators associations.
Account Executive
Mid-South Securities Company, Inc.
1971-1973
Provided investment, purchase and sales recommendations for clients. Rendered investment advice as well as portfolio and market analysis. Assisted support staff in operations and compliance. Worked as assistant securities trader and backup trader for the company. Furnished IPO and secondary new issues company analysis. Performed corporate and mutual fund analysis.
> Completed a complex analysis and omelet unscrambling concerning a late dividend announcement and major public offering of a large, publicly held motel chain.
EDUCATION:
Juris Doctor, Nashville School of Law, 1977, Top 10% of Class
Bachelor of Science in Management, Tennessee Technological University, 1968
Certificate of Theology, School of Theology, University of the South, 1989
LICENSES:
License to Practice Law, 1977 (inactive)
License to Practice before the Supreme Court, 1977
License to Practice in Federal District Court, 1977
PROFESSIONAL ORGANIZATION MEMBERSHIP HISTORY:
American Management Association
American Bar Association
Tennessee Bar Association
Financial Analysts Federation
MILITARY HISTORY:
United States Army (Signal Corps): 1968-1971
Communication-Electronics and Logistics Officer
US Army Commendation Medal (2 clusters) & Bronze
Star Medal.
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