Richard Alvarez is Of Counsel to Lehman & Eilen. Richard’s practice focuses primarily on state securities, or “blue sky,” laws, as well as on federal and state registration and compliance matters for broker-dealers and investment advisers. For nearly three decades, Richard has advised corporate issuers, registered and unregistered funds, including hedge funds and private equity funds, investment banks, broker-dealers and investment advisers, among others, on a wide range of complex state regulatory issues. His experience includes securing state securities law approvals for public and private securities offerings, US and cross-border change in control transactions, issuances under employee benefit programs and secondary trading activities.
Prior to establishing his own firm in 2001, Richard was of counsel to the international law firm of Orrick, Herrington & Sutcliffe LLP, heading up its Blue Sky Department and supporting that firm’s Market Regulation Group. Prior to that time, Richard worked for the international law firms of Dewey Ballantine and Milbank Tweed Hadley & McCloy.
Education
- New York Law School, 1981
- State University of New York College at Oneonta, B.A., 1978
Admissions & Certifications
- New York
- United States District Court for the Southern District of New York
- United States District Court for the Eastern District of New York
Memberships & Activities
- Vice Chair of the American Bar Association’s State Regulation of Securities Committee
- Former Chair of the ABA’s Subcommittee on Municipal, Banking, Nonprofit and Other Exempt Securities