Samuel S. Guzik has more than 35 years of experience as a corporate and securities attorney and business advisor in private practice in New York and Los Angeles, including as an associate at Willkie Farr and Gallagher, a major New York based international law firm, a partner at the law firm of Ervin, Cohen and Jessup, in Los Angeles, and in the firm he founded in 1993, Guzik & Associates. Mr. Guzik has represented public and privately held companies and entrepreneurs on a broad range of business and financing transactions, both public and private. Guzik has represented businesses in a diverse range of industries, including digital media, apparel, health care and numerous high technology based businesses.
He is a recognized authority and thought leader on matters relating to the JOBS Act of 2012 and the ongoing SEC rulemaking, including Regulation D Rule 506 private placements, Regulation A+, and investment crowdfinance. He has been consulted by Congressional members, state legislators and state securities administrators and the U.S. Small Business Administration Office of Advocacy on matters relating to the JOBS Act and state securities matters. He has also been cited by SEC Commissioner Daniel M. Gallagher on two occasions in public statements, both for his advocacy on behalf of small business and his thought leadership on SEC rulemaking and post-JOBS Act reforms.
Mr. Guzik is a prolific writer on JOBS Act issues affecting entrepreneurs, small and emerging companies, investors and Internet-based funding portals. He is a frequent blogger on his blog, The Corporate Securities Lawyer Blog, addressing developing corporate and securities laws issues. In 2014 he published two major commentaries on JOBS Act rulemaking in The Harvard Law School Forum on Corporate Governance and Financial Regulation: the first article, entitled “Regulation A+ Offerings – a New Era at the SEC,” discussing the SEC’s proposed regulations implementing JOBS Act Title IV Regulation A+; the second article entitled “SEC Crowdfunding Rulemaking under the JOBS Act – An Opportunity Lost?” addressing deficiencies in the SEC’s proposed Title III investment crowdfunding regulations. Both he and his articles have also been cited in national business publications on issues relating to federal securities regulation, including, The Economist, Forbes, and Bloomberg’s BusinessWeek. Mr. Guzik is also a regular speaker on federal securities matters.
Mr. Guzik served as the President and Chair of the Crowdfunding Professional Association in 2015. Mr. Guzik is also a founding member of The Heritage Foundation Securities Regulation Working Group, focusing on federal regulatory issues affecting small businesses and emerging growth companies, including ongoing JOBS Act and Dodd-Frank SEC rulemaking. He received a B.S. degree in Industrial and Labor relations from Cornell University and is a graduate of Stanford University Law School, and is admitted to practice in both New York and California.