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Thomas E. Puzzo |
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Of Counsel
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(206) 522-2256 |
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(858) 450-9834 |
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Mr. Puzzo is an experienced securities regulation and corporate finance attorney. Mr. Puzzo has represented numerous companies in raising capital via public and private offerings of debt and equity securities, and counseled public companies in connection with their ongoing reporting and other obligations. He has also represented underwriters in public offerings, broker-dealers in placing private offerings and venture capital funds and other investors in non-public investment transactions.
Mr. Puzzo has counseled clients regarding compliance with various aspects of the Securities Exchange Act of 1934, as amended, and the Sarbanes-Oxley Act of 2002 and related regulations. He also has extensive experience in counseling public companies on maintaining compliance with NASDAQ, New York Stock Exchange, and American Stock Exchange rules, as well as Over-the-Counter Bulletin Board eligibility requirements. Additionally, Mr. Puzzo has represented established and emerging businesses with respect to intellectual property transfers and protection, primarily in the areas of mergers, acquisitions, the employer-employee relationship and development, and original equipment manufacturer and software license agreements.
Mr. Puzzo received his Bachelor of Arts degree from Evergreen State College in 1989. From 1989 to 1991, he attended the University of Leiden in The Netherlands, where he studied philosophy and received a Propaedeutic Degree in Dutch. Mr. Puzzo received his Juris Doctorate degree from Seattle University in 1997.
Admissions: Washington
Memberships: Washington State Bar Association
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