Peter Waltz is dedicated to helping clients achieve their objectives by employing a comprehensive, interdisciplinary approach to their legal and business challenges. He advises companies in all phases of the business cycle and provides on-going advice and counsel on day-to-day operational, business, and legal issues. Much of Peter’s practice focuses on securities compliance matters, including advising publicly reporting companies in transactional, governance, and disclosure matters, advising emerging growth companies on organizational and various forms of exempt offering financing matters, working with project and private fund sponsors in capital raising transactions and compliance matters, and, also advising regulated financial professionals including registered investment advisers.
Peter’s transactional, financial regulatory, and corporate finance practice has included serving as adviser to clients with respect to mergers and acquisitions and general corporate counseling. Peter also has significant experience in the preparation and negotiation of documents related to entity selection and formation, corporate structure, corporate governance, merger and acquisitions and commercial contract matters.
Peter’s practice also involves advising clients in the FinTech space navigate complex federal and state regulatory frameworks in order to structure and operate the businesses. Peter utilizes his securities compliance, corporate and transactional background in the FinTech arena and has represented clients before the Securities and Exchange Commission and the Financial Industry Regulatory Authority on matters including broker-dealer registration matters, securities offering platform compliance matters, and securities offering and compliance matters related to digital assets.
Prior to law school, Peter worked in the financial industry and was licensed as a registered representative with the Financial Industry Regulatory Authority.