Roland S. Chase

Honors

• Honorary Consul of the Federal Republic of Germany: Southwest Florida
• The Best Lawyers in America^® (2022-2024)
• TAMPA Magazine's Top Lawyers (2023-2024)
  • Corporate Compliance Law (2023)

  • Securities / Capital Markets Law (2023-2024)

  • Securities Regulations Law (2023)
• Thomson Reuters Stand-Out Lawyer (2023)

Education

Washington and Lee University, B.A., 1995, magna cum laude: Honors in Economics

University of Virginia School of Law, J.D., 2001

• Virginia Law Review
• Virginia Journal of International Law

Bar Admissions

American Bar Association

The Florida Bar

Hillsborough County Bar Association

New York Bar

New Jersey Bar

Experience

• Represent an OTC- quoted consumer products company in its reverse merger with an asset manager.
• Represent a Nasdaq-listed franchisor of staffing services in its SEC reporting, corporate governance, universal shelf registration and other corporate matters.
• Represent a Nasdaq-listed manufacturer in its SEC reporting and corporate governance matters, universal shelf and resale registration, and with respect to the securities law aspects of acquisitions.
• Represent a Nasdaq-listed government contractor in its SEC reporting, corporate governance and other corporate matters. Represented the company in an issuer tender offer, its Nasdaq uplisting, and an asset acquisition. 
• Represented a Nasdaq-listed consumer finance company in its corporate governance, SEC reporting and corporate matters.
• Represented a global NYSE-listed manufacturer in its SEC reporting, corporate governance and 1933 Act registration matters.
• Represented a registered investment advisor in the formation and capital raising process for their fourth private equity fund focused on healthcare.
• Represented a Nasdaq-listed operator of dealerships in its SEC reporting and corporate matters and in connection with preparing an underwritten public offering of equity securities.
• Represented an OTC-quoted biotechnology company in its SEC reporting and corporate matters. Represented the company in preparing an underwritten public offering of equity securities and restructuring of its preferred securities, and in connection with a resale registration for the benefit of selling shareholders.
• Represented an OTC-quoted food processor in the proxy process relating to the sale of substantially all of its assets.
• Represented a privately-owned franchisor of staffing services in its reverse merger with a public company.  
• Represented three private equity funds focused on real estate in their private placement of limited partnership interests. 
• Represented an exempt reporting adviser in the formation and capital raising process for their third private equity fund focused on healthcare.
• Represented a group of private equity funds in the renewable energy sector in their private placements of limited partnership interests and with respect to a line of credit.
• Represented a public company in its reverse merger sale to a European institutional financial services provider.
• Represented a NYSE-listed South American steel manufacturer and two of its subsidiaries in their registered exchange offer for equity awards.
• Represented the seller in the sale of a restaurant chain to a private equity group.
• Represented a European provider of logistics software solutions in preparing its initial public offering on the NYSE.
• Represented a NYSE American-listed biotechnology company in numerous financing transactions, including five public offerings of equity securities, an ATM program, a debt restructuring, and a strategic investment by a foreign company, as well as in all of its SEC reporting matters.  Designed an 18-month plan to regain compliance with the listing standards of the NYSE American.
• Represented a private pharmaceuticals company in its reverse merger with a Nasdaq-listed company.
• Represented a Nasdaq-listed biotechnology company in three underwritten public offerings of common stock and warrants to investors in the United States and Europe.  Represented the company in the establishment of a committed equity financing facility, two ATM programs and in SEC reporting matters.
• Represented a NYSE-listed REIT in establishing its universal shelf program, an underwritten public offering of common stock and an ATM program, as well as in SEC reporting matters.
• Represented a European computer memory manufacturer in its initial public offering on the NYSE.
• Represented a European bank in its U.S. securities law matters, including in connection with its SEC reporting obligations under the Exchange Act.
• Represented the agents in the initial public offering of a bank holding company on the NYSE.
• Represented a European pharmaceuticals company in its U.S. securities law matters, including in connection with its SEC reporting obligations under the Exchange Act and in the spin-off of its chemicals division.
• Represented a NYSE American-listed special purpose acquisition company (SPAC) in its investment in an Asian financial services firm.
• Represented a private social networking company in its reverse merger with a Nasdaq-listed company.
• Represented a European investor in a hostile tender offer for an environmental technology company.

Community & Professional

• Honorary Consul, Federal Republic of Germany: Southwest Florida
• The Florida Bar Business Law Section: Vice-Chair, Chapter 517 (Florida Securities and Investor Protection Act) Task Force
• German-American Chambers of Commerce: Florida Chapter Leadership Committee (2015-2018)
• Boy Scouts of America: Assistant Scoutmaster and Treasurer, Troop 22 (2014-2019)