Ernest M. Stern

Ernest Stern’s Corporate and Securities practice includes the representation of public and private emerging companies, many of which are technology based. Ernest assists these clients in their growth plan starting with their formation in the appropriate form of entity, a capital structure to accommodate growth, shareholder agreements and stock option plans, assisting them with financings to accelerate their growth through venture financing in the form of private placements with high net worth individuals or Angel financing, institutional venture capital, crowd funding, PIPE investments, Regulation A+ financings, IPOs and reverse mergers. He also represents venture capital firms in their investments in early-stage companies.

Additionally, he advises companies in domestic and cross-border mergers and acquisitions of public and private companies and has extensive experience in advising on SEC and FINRA compliance issues having served as General Counsel and compliance officer of a FINRA registered broker/dealer. Ernest handles all filings of public companies under the SEC rules and regulations under federal securities laws.

Awards & Recognitions

• The Legal 500 2011, Recommended for Mergers, Acquisitions & Buyouts: M&A National Middle Market
• SmartCEO Magazine Legal Elite 2010

Selected Presentations & Publications

• Thomson Reuters; Aspatore, Co-Author, “Representing Emerging Technology Companies: Leading Lawyers on Guiding Businesses and Investors Through the Tech Start-Up Process (Inside the Minds),” April 1, 2014
• Washington Metropolitan Area Corporate Counsel Association (WMACCA), Speaker, “A Practical Guide to SEC Comment Letters,” April 2011

Interesting Facts
When not practicing law, Ernie is an avid squash, tennis and skiing enthusiast! He also volunteers his time as a member of the Board of Directors for Habitat for Humanity of Washington, DC and is a co-founder of the Collaborative Alumni Angel Group (CAAG) as a forum for emerging companies to pitch to member MBAs from the nation’s top business schools.