Theodore (Ted) Grannatt chairs the firm’s Corporate practice group, focusing on traditional corporate, M&A, and fund raising transactions, as well as investment and securities matters focused on non-traditional pooled capital vehicles, high net worth individuals and small family offices with representation ranging from the creation and management of private pools of capital to middle market private equity and related acquisition and disposition transactions for both small and large investments all of which involve a spectrum of regulatory considerations.
Ted has unique experience regarding the multifaceted securities aspects of digital currencies, utility and rewards tokens, non-fungible tokens, NFTs, decentralized finance, DeFi, and other emerging FinTech products. He is actively engaged with solutions for portfolio optimization and disaggregation, technologies for validating authenticity and efficient trading. He advises clients on a variety of regulatory and commercial considerations, helping them navigate this new and evolving technological and regulatory landscape.
Ted regularly manages the regulatory/exemption process for onshore and offshore principal/agency private placements in public offerings to the Alternative Investment Market (the AIM) tier of the London Stock Exchange and other “designated offshore markets.” In connection with AIM offerings in the U.S. and other private capital raising transactions, among other aspects of U.S. securities law, he manages state securities law compliance (the blue sky laws).
Ted represents individuals and entities before the Securities and Exchange Commission SEC and state securities authorities in connection with corporation finance, investment adviser and enforcement matters. Broker-dealers and investment advisers come to Ted for advice on compliance and transactional matters, seeking strategic guidance to help find commercial solutions to regulatory challenges.
He has routinely worked with the Financial Industry Regulatory Authority, FINRA, with respect to corporate, offering and broker-dealer requirements, and provides real-time advice to investment advisers on advertising and solicitation arrangements and broker-dealer clients regarding trades and restrictions regarding the purchase and sale of securities. Many of these engagements have involved the various levels of the Nasdaq Stock Market, LLC or the New York Stock Exchange and include such matters as issuer-listing standards and restrictions associated with certain securities. Ted has also created and sold broker-dealers and managed broker-dealer ownership/affiliations with individuals and private equity and hedge funds.
