Corporate/Securities (Blue Sky) Paralegal
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Location: New York, NY, USA
University: Mercyhurst University
Major: Social Work

Corporate/Securities (Blue Sky) Paralegal

Mark J. Walko, APC, RP
xxx-xxx-xxxx | xxx-xxx-xxxx

SUMMARY OF QUALIFICATIONS
• Highly resourceful, detail oriented Corporate/Securities (Blue Sky) Paralegal with excellent communication and interpersonal skills. Proven ability to handle high work volume and extensive experience in: Filing various Securities and Exchange Commission filings including: Reg. D, Rule 506 Form D filings and Forms 3 and 4.
• Supporting the Corporate Secretary. Assisted with the preparation of the 10K and 10Qs.
• Preparing all proxies, minutes and related supporting documents for the Stockholders’ Annual Meeting.
• Working with private placements, initial public offerings, mergers and acquisitions and financings; some tax experience such as obtaining EINs/SS-4 work with the IRS
• Notarizing documents and obtaining apostils and other types of legalization for foreign jurisdictions.
• Litigation support. Including blue book briefs.
• Drafting ISO and NSO agreements for various entities to encourage the retention of highly valuable employees
• Corresponding with foreign patent agents and paying required maintenance fees.

CERTIFICATIONS
• Advanced Paralegal Certification (APC) - Business Organizations: Incorporated Entities, National Association of Legal Assistants, Inc.
• Registered Paralegal (RP), National Federation of Paralegal Associations, Inc.
• Passed Certified Equity Professional Institute Level I Examination.

PROFESSIONAL EXPERIENCE

Security Guard, Summit Security Services, Inc., New York, New York 10/2017 – Present
• Monitored and authorized entrance and egress of employees, vendors and visitors.
• Kept daily log and wrote reports regarding post irregularities, such as equipment or property damage, theft, the presence of unauthorized persons or other unusual activity.
• Answered telephone calls and took messages , answered questions and provided information during non-business hours.

Consultant, Morgan Stanley, Legal Compliance Department, New York, New York​09/2017 – 12/2017
• Identifying and organizing brokerage restrictions presently coded on various brokerage clients, their mandates, sub-mandates and accounts.
• Working independently with minimal supervision to reconcile the same with documentation on hand that justifies the coded brokerage restriction (for Equity, Future, Spot_FX and Forward_FX) noting any discrepancies.
• Compiling the results of the same into a spreadsheet in preparation for the next phase of the project.

Paralegal (Corporate/Blue Sky), Pepper Hamilton, LLP, New York, New York​2015 – 06/2017
• Performed significant blue sky and other legal research as well as drafted all Federal and State securities filings for all private placements.
• Filed SEC Section 16 reporting.
• Drafted and filed various Form BE-13 filings with the Bureau of Economic Analysis for Foreign Entities.
• Pre-closing tasks: Conducted due diligence, handled signature page distribution, prepared closing certificates and closing files. Ordered certified copies, good standing certificates and bring downs.
• Post-closing tasks: Maintained and organized closing documents and prepared closing binders in connection with corporate and structured finance transactions.
• Obtained apostils along with other legalizations for foreign jurisdictions
• Litigation Support.
• Assisted with various Pro Bono projects for the Firm.

Contract Paralegal, Leiter & Cramer, PLLC, Washington, District of Columbia​2014 - 2015
• Conducted due diligence: Reviewed 1600 contracts and agreements stored in electronic data room in 100 hours concerning the sale of 157 Gas Stations/Convenience Stores. Decided which Schedule the document should be added to, typed the legend and date into the Schedule (Averaging 1 document every 3.75 minutes). Ordered Good Standings.

Caregiver, Sharpsville, Pennsylvania​​ 2013 to 2014
• Managed care of elderly parent and estate.

Financial Services Paralegal, Dechert, LLP, New York, New York​2011 to 2012
• Performed Blue Sky and other legal research and state securities filings for private placement. Prepared and filed SEC and other filings (i.e. Form 13F, 13H, Form ID and Form D); and state securities filings for funds.
• Performed domestic and foreign subsidiary formation and maintenance and related subsequent compliance as necessary.
• Worked with and managed relationships with clients’ regulatory officers and other external consultancies to obtain information and/or execute necessary documentation, reviews and filings.
• Assisted in transactional work for various entities including performed due diligence of public and private companies.
• Notarized documents and obtained apostils along with other forms of legalization for foreign jurisdictions.
• Volunteered with the Lawyer Alliance for New York and the Firm’s Hurricane Sandy Disaster Relief Assistance.


Sr. Legal Assistant (Corporate Blue Sky), Arnold & Porter, LLP, New York, New York​2005 to 2009
• Sole Blue Sky paralegal; performed significant blue sky and other legal research as well as drafted all Federal and State securities filings for all private placements.
• Completed and filed SEC Section 16 reporting; maintained data base of corporate and securities compliance for all domestic and foreign entities.
• Obtained and assembled information and data for compliance testing, periodic reports and regulatory inquiries.
• Drafted Minutes for both domestic and foreign entities including but not limited to Annual Meetings, Approvals of Actions Without a Meeting and a variety of other corporate resolutions and documents involving the purchase of shares, corporate dividends and stock splits.
• Pre-closing tasks: Conducted due diligence, handled signature page distribution, prepared closing certificates and closing files. Ordered certified copies, good standing certificates and bring downs.
• Post-closing tasks: Maintained and organized closing documents and prepared closing binders in connection with corporate and structured finance transactions.
• Notarized documents and obtained apostils along with other forms of legalization for foreign jurisdictions
• Managed Stock Registers for various entities. Paid annual franchise taxes.
• Litigation Support including blue booking briefs and assisted with various Pro Bono projects for the Firm.

Corporate/Blue Sky Paralegal, Schulte, Roth & Zabel, LLP, New York, New York​2001 to 2005
• Managed Department for 6 months while the managing paralegal on leave; trained junior paralegals.
• Maintained the timeliness of all Blue Sky filings for the firm's 1,000 + hedge fund clients.
• Performed significant blue sky and other legal research as well as drafted all Federal and State securities filings for private placements.
• Notarized documents and obtained apostils along with other forms of legalization for foreign jurisdictions.
• Formed domestic and foreign entities, along with necessary maintenance and related subsequent compliance.
• Updated Stock Registers for various entities. Complied with Franchise Tax requirements.
• Assembled and obtained information and data for compliance testing, periodic reports and regulatory inquiries.
• Performed lien searches.

EDUCATION
• The Institute for Paralegal Training, Philadelphia, PENNSYLVANIA, ABA approved paralegal certificate - Corporate Paralegal, (G.P.A.: 3.37)
• Mercyhurst College, Erie, Pennsylvania, Bachelor of Arts - Double Major: Social Work and Religious Education & Lay Ministry (G.P.A.: 3.34)

COMPUTER SKILLS
• Proficient in legal entity and securities online legal software: xxx-xxx-xxxx; CCH Online - Securities; SEC.GOV; Romeo & Dye’s Section 16 xxx-xxx-xxxx; xxx-xxx-xxxx; Bloomberg Law; LEXIS/NEXIS. Knowledgeable in Word 2010, Excel and Imanage.

Paralegal, Blue Sky, Corporate, Securities, Compliance