Mr. Alvarez has extensive experience in all aspects of state securities law, or "blue sky" compliance.  In addition, he has significant experience advising broker-dealers and investment advisers on a wide range of regulatory issues.

 

Prior to founding the Firm, Mr. Alvarez was Of Counsel to the international law firm of Orrick, Herrington and Sutcliffe LLP, heading up that firm's Blue Sky Department and supporting Orrick's Market Regulation Group.  While at Orrick, Mr. Alvarez handled all blue sky matters for the firm's Public Finance practice, with responsibility for all Municipal  Bond offerings handled in Orrick's domestic offices.  Additionally, Mr. Alvarez was solely responsible for all public and private asset-backed securities offerings handled in Orrick's New York, Washington DC and San Francisco offices.

 

As Orrick's Senior Blue Sky attorney, Mr. Alvarez had principal oversight responsibility for state securities law compliance issues arising in a wide variety of offerings and transactions handled by Orrick in its 10 international offices.  In addition to handling all Orrick Public Finance and Securitization blue sky work, Mr. Alvarez also provided blue sky advice for many different types of corporate transactions, including: (i) mergers and acquisitions; (ii) private placements; (iii) issuer offerings, such as issuances under stock option plans, debt and equity grant programs or rights offerings; (iv) reorganizations, including bankruptcy restructurings; and (v) IPOs and secondary public offerings.

 

In additional to serving as Orrick's principal blue sky attorney, Mr. Alvarez has extensive broker-dealer regulatory experience, having represented, as a member of Orrick's Market Regulation Group, firms seeking membership in the FINRA and counseling large and small broker-dealers on SEC, FINRA and state registration and regulatory compliance issues.  Mr. Alvarez has also counseled investment advisory firms on the registration and compliance matters, both with the SEC and at the state level.

 

Prior to joining Orrick, Mr. Alvarez was senior blue sky attorney at the international law firms of Dewey Ballantine, Milbank Tweed Hadley & McCloy and Mudge Rose Guthrie Alexander & Ferdon, where he headed each firm's blue sky practice.

 

Mr. Alvarez received his J.D. from New York Law School.  He is currently Chair of the American Bar Association's Business Law Section State Regulation of Securities Committee, having previously served as the Committee Vice Chair, and before that, as Chair of the Sub-committee on Municipal Banking, Nonprofit and Other Exempt Securities.  He is admitted to the Bar of the State of New York.  He is also admitted to practice before the United States District Court for the Southern and Eastern Districts of New York.