Santa Clara University School of Law, J.D., magna cum laude, 1982

Georgetown University School of Foreign Service, B.A.F.S., 1979

Tom has represented:

• Spartan Capital Securities, LLC as sole placement agent in its $6.5 million secondary public offering for AgEagle Aerial Systems Inc., a leading provider of full stack drone solutions for commercial and government use.
• A consortium of investors in connection with a $28 million secured financing of Acreage Holdings, Inc., a Canadian holdings company with a diverse portfolio of cannabis cultivation, processing and dispensing operations in the United States.
• Advest, Inc., as underwriters counsel in connection with the $20 million IPO of Anworth Mortgage Asset Corp., a mortgage REIT.
• Aegis Capital Corp. and West Park Capital, Inc., as underwriters’ counsel in the $15.1 million IPO of HF Enterprises, Inc., a diversified holding company.
• A.G.P./Alliance Global Partners as:
  • Represented a $10.0 million convertible preferred stock offering in Larkspur Health Acquisition Corp., a publicly traded SPAC.
  • Exclusive financial advisor to Larkspur Health Acquisition Corp.,, a publicly traded SPAC, with the closing of the de-SPAC transaction with Zyversa Therapeutics, Inc., a clinical stage specialty biopharmaceutical company.
  • Sole placement agent in an $18 million registered direct offering for VIQ Solutions Inc., a global provider of secure, AI-driven, digital voice and video capture technology and transcription services.
  • Sole placement agent in a public offering of $360 million of senior secured convertible notes by HEXO Corp, a consumer packaged goods cannabis-based products company.
  • Lead U.S. placement agent in a C$12.6 million overnight marketed offering by mCloud, a leading provider of asset management solutions.
  • Financial advisor to Curaleaf further to its C$275 million public offering.
  • Exclusive placement agent in a $25 million registered direct offering and a $20 million registered direct offering of common shares and warrants by HEXO Corp, a consumer packaged cannabis-based products company.
  • Underwriters’ counsel in the $20 million PIPE offering and $15 million private placement offering of senior secured convertible notes for LiveWell Canada Inc., a Canadian CBD company listed on the Canadian Stock Exchange and entering the U.S. markets.
  • Sales agent in two $20 million at-the-market offerings, lead placement agent in a $7.5 million private placement and sole placement agent in two registered direct offerings collectively valued at $19.5 million for FSD Pharma Inc., a Canadian cannabis biotech research and pharmaceutical company.
• A.G.P./Alliance Global Partners and Brookline Capital Markets as:
  • Underwriters to Mount Rainier Acquisition Corp., a special purpose acquisition company (SPAC), in its $172.5 million IPO.
  • Underwriters to Larkspur Health Acquisition Corp., a SPAC, in its $75 million IPO.
  • Underwriters to Relativity Acquisition Corp., a SPAC, in its $143.75 million IPO.
• A.G.P./Alliance Global Partners and Cantor Fitzgerald Canada Corporation as lead underwriters and joint bookrunners for the $140 million public offering by HEXO Corp, a consumer packaged goods cannabis-based products company.
• A.G.P./Alliance Global Partners and The Benchmark Company, LLC, as underwriters to Murphy Canyon Acquisition Corp., a SPAC, in its $132 million IPO.
• B. Riley FBR Northland Securities, Inc., Craig Hallum Capital Group and Dougherty & Company LLC. as underwriters’ counsel for the $36.4 million public offering of Iteris, Inc., a provider of essential applied informatics that enable smart transportation and digital agriculture.
• Bam Entertainment, Inc., a video game designer and distributor, in connection with its $45 million IPO.
• BNC Mortgage, a mortgage originator, in connection with its $30 million IPO and sale to Lehman Brothers.
• CaliberCos Inc., a vertically integrated alternative asset manager firm, in connection with its $4.8 million IPO.
• China-based China Elector Motor, Inc., a developer and manufacturer of electronic motors, in connection with its $25 million IPO.
• Colorep, Inc., a developer of sustainable subsurface printing and dyeing technology, in connection with the sale of over $40 million of capital stock.
• Deem, Inc., a leading cloud commerce company providing commerce-as-a-service (CaaS) solutions, in connection with the sale of preferred stock totaling over $125 million.
• Digital Brands Group, Inc., a curated collection of luxury lifestyle, digital-first brands, in connection with its:
  • Acquisition of Sunnyside, LLC, otherwise known as the popular brand of women’s clothing “Sundry.”
  • $10 million IPO.
  • Acquisitions of clothing brands Stateside, Bailey 44 and Harper & Jones, LLC, collectively valued at over $34 million.
  • $10 million public offering.
• Digital Health Acquisition Corp., a special purpose acquisition company (SPAC), in its $115 million IPO.
• China-based Fuqi International, Inc., a leading designer and distributor of precious metal jewelry in China, in connection with its $63 million IPO and $100 million follow-on offering.
• Helio, Inc., a $500 million mobile phone joint venture between Earthlink, a leading internet provider, and SK Telecom, the largest South Korean wireless telecommunications operator, in connection with capital raising and strategic and transactional matters.
• Impac Mortgage Holdings, Inc., a leading residential mortgage lender, in connection with its IPO and subsequent follow-on offerings for Impac and its affiliated entities totaling over $525 million.
• Imperial Credit Industries, Inc., a diversified financial institutional lender, in connection with its IPO and subsequent follow-on offerings of equity and debt for ICI and its affiliated entities totaling over $1 billion.
• Internet Connect, Inc., a DSL provider, in connection with the sale of over $100 million of preferred stock.
• JMP Securities and Jeffries & Company as underwriter’s counsel in connection with the $85 million follow-on offering for United PanAm Financial Corp., an originator of automobile financing.
• Joseph Charles & Associates as underwriter’s counsel in connection with the $10 million IPO of Jakks Pacific, Inc., a leading toy manufacturer.
• Monster Digital, Inc. in connection with corporate reorganization with Innovate Biopharmaceuticals, Inc. and concurrent $60 million PIPE.
• Moving iMage Technologies, a leading digital cinema company that designs, manufactures, integrates, installs and distributes a full suite of proprietary and custom-designed equipment, in connection with its $12.6 million IPO.
• Mullen Automotive, an electric vehicle company based in Southern California:
  • in its merger with Net Element, a global technology and value-added solutions group that supports electronic payments.
  • with the closing on a $150 million sale of convertible notes.
  • assisted in using $103 million of its proceeds to acquire ELMS assets out of bankruptcy.
• China-based China New Borun Corporation, a producer and distributor of corn-based edible alcohol, in connection with its $40 million IPO.
• China-based NIVS IntelliMedia Technology Inc., a consumer electronics products manufacturer and distributor, in connection with its $23 million IPO.
• Roth Capital Partners, LLC, as underwriter’s counsel in connection with the $10 million follow-on stock offering for Active Power, Inc., a developer of flywheel-based uninterruptible power supply products and modular infrastructure solutions, and a $21 million follow-on stock offering for HQ Sustainable Maritime, Inc., an aquaculture product processing firm.
• Rouse Services, a leading provider of data intelligence and performance benchmarking solutions, in connection with its $275 million sale to Ritchie Bros.
• Skechers USA, Inc., a global footwear designer and distributor, in connection with its IPO and convertible debt transaction totaling over $160 million.
• Spartan Capital Securities LLC and Revere Securities LLC as joint book runners in connection with Winc, Inc.’s $22 million IPO.
• Stila Cosmetics, Inc., a leading cosmetic company, in connection with its sale to Estee Lauder.
• Tandon Digital, Inc., a developer and distributor of memory products under the Monster brand name, in connection with its sale of common stock and convertible notes totaling over $10 million.
• WCT Communications, Inc., a telecommunications provider, in connection with its $20 million IPO and sale to Frontier Corporation.
• Wrightspeed, Inc., a designer of range-extended electric vehicle powertrains, in connection with the sale of $20 million of preferred stock and convertible notes.
• China-based ZST Digital Networks, Inc., a satellite company, in connection with its $25 million IPO.