Quote: -------------------------------------------------------------------------------- Based upon my experience (250+ offerings in 15 countries), there are many funding alternatives that, while available, are all too frequently not pursued. My principal self-identification is that of a securities attorney. As Senior Attorney in the office of Tender Offers, Acquisitions and Small Issues at the SEC leavened with a significant amount of securities experience, the amalgam of qualities I offer is frequently of value to “emerging issuers”. That value is enhanced because of my continuing concentration in this area, increasing participation in offshore activities (approximately 20% of my time currently), as well as this firm’s current work in Washington, lobbying and performing information-gathering activities with regard to Congress, the CFTC, SEC and the NASD.
A 1970 graduate of New York University School of Law, I also have an MBA in Finance form American University (double distinction) and was previously a registered representative with the NASD. While presently managing partner of Duncan, Blum & Associates, some of my prior associations have included being a partner at Bayh, Connaughton & Malone; partner in the D.C. Office of Richmond-based Williams, Mullen, Christian & Dobbins; managing partner of McVey & Duncan; securities and commodity partner at Abramson & Fox in Chicago; Senior Attorney in the Office of Tender Offers, Acquisitions and Small Issues at the Securities and Exchange Commission; member of the Corporation Counsel Department of Continental Illinois National Bank and Trust Company of Chicago, specializing in securities and bank holding company law; and Chairman of the Financial Services Group of Alagia, Day, Marshall, Mintmire & Chauvin. (Mr. Chauvin was president of the American Bar Association at the time). As a consequence, I have been associated with specialized corporate and securities law firms which represented clients with a significant spectrum of issuers and underwriters.
In order to be competitive or overcome regulatory impediments, many of my existing clients have had to develop new products, alternative distribution techniques, and more generally, find specialty “niches.” More specifically, I have initiated or implemented a number of methods to raise capital on a cost and time efficient basis and likewise have developed alternative methods of distribution. For example, I have developed a number of creative products and alternative distribution techniques to increase capital under management, including self-underwritten private and public offerings; direct mail public offerings; funds which “feed” into a “foundation” fund to achieve the desired business and/or regulatory objective; investment companies (private and even public) which can have mixed securities and commodity portfolios;
Much of my corporate and securities practice orientation has been increasingly international. As a result, I have a diverse practice with increasing emphasis either outside the United States or by non-U.S. persons within the United States. The work is quite sophisticated with an emphasis on raising capital for small to medium sized companies and other principals. CARL N. DUNCAN