Seth advises clients ranging from Fortune 100 Companies and financial institutions, to governmental entities and public benefit corporations, to investment funds and entrepreneurs on transactional and strategic legal matters. Seth brings approximately twenty-five years of corporate, securities law, and finance and governance experience in providing guidance to clients as they pursue their business objectives.
Seth has practiced extensively on securities and finance transactions, including sales of fixed income instruments such as municipal bonds, institutional private placements of debt securities and on bank facilities, and equity securities such as preferred and common stock, convertible notes, limited liability company interests, and warrants among other investment products. Seth advises clients on compliance with Federal and State ‘Blue Sky’ securities laws matters, including guiding on the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act of 2002, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and the Jumpstart Our Business Startups Act of 2012.
Seth has deep experience representing parties in mergers & acquisitions transactions, joint ventures, license agreements and other strategic transactions. Seth also serves as “external” general counsel or commercial counsel to market leading ventures and not-for-profit entities and has managed matters ranging from anti-trust issues, intellectual property infringement and general business litigation.
Seth is a specialist in matters related to Minority and Women-Owned Business Enterprise (“MWBE”) programs. He has drafted MWBE focused laws, assisted clients on “Majority – MWBE” mergers and acquisitions and joint ventures, counseled on MWBE certification eligibility and MWBE compliance. In 2010, Seth represented a coalition that worked closely with the New York State legislature and New York State’s pension plans in enacting “The New York State Emerging Investment Manager and MWBE Financial Institution Strategy” (S6888, A9976), a law to encourage more diversity in investment advisors, financial institutions and other professional firms that provide services to New York State pensions, insurance and other funds. In September of 2016, Seth published a comprehensive paper, “The ‘State’ of New York MWBE Programs, An Inflection Point?”, which provided in depth analysis of the MWBE programs of New York State and New York City. Seth continues the important work on behalf of MWBEs, including serving as a member of the Mayor of The City of New York’s MWBE Advisory Board.
Seth is a member of the New York City Bar Association where he was the Chairman of the Legal Education and Pipeline Task Force of the Committee to Enhance Diversity in the Profession, which published “Sealing The Leaks: Recommendations To Diversify and Strengthen The Pipeline To The Legal Profession”, May 17, 2019. Seth is a also a member of the American College of Investment Counsel, the Metropolitan Black Bar Association, the National Association of Bond Lawyers and the National Bar Association.
Seth is a member of the Board of Directors of the National Association of Minority and Women-Owned Law Firms (NAMWOLF) and serves as Co-Chair of NAMWOLF’s Advocacy Committee. Seth is also a Trustee of the Citizens Budget Commission (CBC), a nonpartisan civic organization focused on constructive change in the finances and services of New York City and New York State. Seth is a Founder and former member of the Board of Directors of the Council of Urban Professionals (CUP). Seth is also a member of the Board of Directors of the Boys & Girls Club of Buffalo-Masten Alumni/Alumnae Association.
Seth earned a J.D. in 1995 from New York University School of Law where he was a Root-Tilden Snow Scholar. He earned B.A. degrees in 1992 from New York University College of Arts and Sciences where he double majored in Philosophy and in Political Science.
Seth is admitted to practice in New York State.