Withers Worldwide

• Education: University of Notre Dame, B.B.A. • Notre Dame Law School, J.D.
• Admitted: State of IL, 1989 • Registered Foreign Lawyer in the UK, 2007 • State of New York, 2008
• Year joined: 2007
• Year became partner: 2007

Overview

David focuses on securities law matters and has significant experience representing clients with regard to matters governed by the Securities Act, the Securities Exchange Act, the Investment Company Act, the Investment Advisors Act and the Commodity Exchange Act as well as the rules of various self-regulatory organizations and stock and commodity exchanges.

Represents several hedge funds and investment partnerships with respect to fund formation matters, preparation of fund formation and offering documents, transaction structuring and compliance issues.  He has represented numerous companies in the acquisition and disposition of businesses and business segments, many requiring the filing of a joint proxy and registration statement.

He represents issuers in all types of financing transactions ranging from traditional loan agreements to public and private offerings (including Rule 144A offerings) of debt and equity securities including hybrid securities, such as convertible notes.

Devotes a significant amount of time to advising public and private companies and their boards of directors on corporate governance matters including compliance with the Sarbanes-Oxley Act, satisfying fiduciary responsibilities, shareholder relations, and board and shareholder meetings. 

Mr. Guin has represented clients in negotiating and documenting a wide range of commercial transactions from employment matters to intellectual property licensing.

Publications and speaking engagements

On a personal note

David has a love of animals, especially his two dogs.  His favorite pass time is the study of European and American history and biography.