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Brian Korn

Brian Korn on The Crowd Caucus video
Brian Korn on Fox Business discussing high frequency trading image
Brian Korn on Fox Business discussing Are Stock Markets Rigged image
Brian Korn on Crowdfunding Reality TV photo
Brian Korn on Fox Business discussing 2014 IPO outlook.
Brian Korn Interview on CCTV - America's Biz Asia American program
 

Brian S. Korn practices in the Corporate and Securities Practice Group and is co-head of the firm’s Crowdfunding and Peer-to-Peer Lending Group. He also serves as chair of Practising Law Institute’s Crowdfunding and Online Direct Lending (Peer-to-Peer) Conference. Mr. Korn has had multiple appearances on Fox Business Television, Bloomberg, CCTV America and National Public Radio as an expert on the JOBS Act, including its impact on crowdfunding, peer-to-peer lending, IPOs and market trading dynamics. He also was published or quoted in Forbes, CNBC, MSNBC, New York Law Journal, Law360, Philadelphia Inquirer, Pittsburgh Post-Gazette, The Financier Worldwide and The Review of Securities & Commodities Regulation. Mr. Korn is listed in the CrowdFundBeat Who’s Who of CrowdFunding World in 2014.

Prior to joining Pepper in 2012, Mr. Korn was director and head of equity capital markets and equity syndicate compliance at Barclays. There he was responsible for monitoring and reviewing equity, equity-linked, derivative/hybrid and private placement transactions and applicable policies for consistent application and management of regulatory, operational and reputational risk. Before that, Mr. Korn was senior vice president and assistant general counsel for Citigroup Global Markets Inc. and was an attorney at several major law firms for more than 10 years.

Mr. Korn’s practice includes representing issuers and underwriters in investment banking and capital markets transactions, including transactions involving equity, debt, hybrid/convertible and preferred securities, derivatives and foreign exchange. He has executed several IPOs and other equity value monetization transactions, such as spin-offs, split-offs and carve-out transactions. He also has extensive experience in sponsor leveraged buy-outs and bank/bond acquisition financing.

His presentations and interviews include:

Mr. Korn’s recent publications include:
  • “Guidelines for Foreign Securities Issuers in the United States” (co-author), Westlaw Journal Securities Litigation & Regulation (June 12, 2014)
  • “Top 5 Things You Should Know About Online Direct (P2P) Lending Law and Regulations — Before You Do Anything Else!” (co-author), Pepper Hamilton LLP Crowdfunding and Peer-to-Peer Lending Alert (April 29, 2014)
  • “Hut, Hut, Hike! Investors Buying Stock in NFL Player through First Fantex IPO” (co-author), Pepper Hamilton LLP Corporate and Securities Law Alert (April 28, 2014)
  • “No Easy A: SEC Proposes Rules for Regulation A+” (co-author), Pepper Hamilton LLP Client Alert (December 20, 2013)
  • “Business Forum: Overseas Firms Look to U.S. for IPOs” (co-author), Pittsburgh Post-Gazette (November 29, 2013)
  • “U.S. Markets Become IPO Venue of Choice for Non-U.S. Firms” (co-author), Financier Worldwide (November 29, 2013)
  • "Resales of Restricted and Control Securities under Rule 144" (co-author), The Review of Securities & Commodities Regulation, (September 18, 2013)
  • “Why We Could Easily Have Another Flash Crash” (co-author), Forbes.com, (August 9, 2013)
  • “New Paradigms in Investor Liquidity: Private and ‘Off-Market’ Resales of Securities Under Rule 144 and Beyond” (co-author), Practising Law Institute’s Understanding the Securities Laws 2013 Course Handbook
  • “SEC Relaxes Ban on Advertising and Solicitation for Private Placements to Accredited Investors” (co-author), Pepper Hamilton LLP Corporate and Securities Law Alert, (July 17, 2013)
  • “Supreme Court Rules DOMA Unconstitutional – Securities Law and Corporate Finance Implications” (co-author), Pepper Hamilton LLP Client Alert, (June 28, 2013)
  • “Landmark Swap Rules Adopted by CFTC,” Pepper Hamilton LLP Client Alert, (May 24, 2013)
  • "The Trouble with Crowdfunding," Forbes.com, (April 17, 2013)
  • “SEC Roundtable on Decimalization Raises Many Questions, Few Answers,” Pepper Hamilton LLP Corporate and Securities Law Alert, (February 15, 2013)
  • “Investment Funds Need to Be Aware: Broker-Dealer Private Placement Compliance Requirements Are Now in Effect” (co-author), Pepper Hamilton LLP Funds Services Alert, (February 5, 2013)
  • “Investment Banks and Other Broker-Dealers Required to Make Private Placement Filings Under New FINRA Rule 5123,” Pepper Hamilton LLP Corporate and Securities Law Alert, (January 14, 2013).

During law school, he completed an externship with the Honorable Stephen Reinhardt of the U.S. Court of Appeals for the Ninth Circuit.



Education
B.A. 1993, with honors and distinction, University of California, Berkeley
J.D. 1997 Northwestern University School of Law; note and comment editor, Northwestern Journal of International Law & Business

Clerkships
Honorable Stephen Reinhardt of the U.S. Court of Appeals for the Ninth Circuit

Bar Admissions
Admitted to practice in New York and California

Brian Korn
Of Counsel
Phone: 212.808.2754
213.928.9800
949.567.3500
Fax: 212.286.9806
213.928.9850
949.863.0151
kornb@pepperlaw.com
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Office(s)
New York Los Angeles
Orange County

Practice Area(s)
Canadian
Corporate and Securities

Corporate Governance
Crowdfunding and Peer-to-Peer Lending

Financial Services Enforcement Response Team
International

Investment Funds Industry Group
Private Equity

Securities Offerings and Public Company Compliance
Venture Capital


Articles


Lending Club IPO Packs More than the Usual Legal Drama

Guidelines for Foreign Securities Issuers in the United States


Top 5 Things You Should Know About Online Direct (P2P) Lending Law and Regulations — Before You Do Anything Else!

Hut, Hut, Hike! Investors Buying Stock in NFL Player through First Fantex IPO


No Easy A: SEC Proposes Rules for Regulation A+

Crowdfunding and Peer-to-Peer Lending: Legal Framework and Risks (PowerPoint)


Business Forum: Overseas Firms Look to U.S. for IPOs

FINRA: Funding Portals, Start Your Engines!


SEC Proposes Crowdfunding Rules

Resales of Restricted and Control Securities under Rule 144


Don’t Short Before the Deal, SEC Reminds Hedge Funds and Buyside Firms

SEC Gets Tough on Bad Actors


Why We Could Easily Have Another Flash Crash

New Paradigms in Investor Liquidity: Private and 'Off-Market' Resales of Securities Under Rule 144 and Beyond


SEC Relaxes Ban on Advertising and Solicitation for Private Placements to Accredited Investors

Supreme Court Rules DOMA Unconstitutional – Securities Law and Corporate Finance Implications


Landmark Swap Rules Adopted by CFTC

Business Finance: U.S. Legal Framework and Introduction to Equity Crowdfunding (PowerPoint)


The Evolving Use of Social Media: Protecting Your Organization (PowerPoint)

The Trouble with Crowdfunding


SEC Roundtable on Decimalization Raises Many Questions, Few Answers

Investment Funds Need to Be Aware: Broker-Dealer Private Placement Compliance Requirements Are Now in Effect


Compliance Considerations for Derivatives End-Users (PowerPoint)

Investment Banks and Other Broker-Dealers Required to Make Private Placement Filings Under New FINRA Rule 5123


Crowdfunding under the JOBS Act - (PowerPoint)


Articles


IPOs, Private Placements and Crowdfunding: How the JOBS Act Spawned a Corporate Finance Revolution

Securities Law: Going Private


Crowdfunding and Peer-to-Peer Lending: The Evolving Legal Landscape Around the JOBS Act

IPOs, Private Placements and Crowdfunding: The Evolving Legal Landscape around the JOBS Act


Crowdfunding and Online Direct Lending (Peer-to-Peer) Conference 2014 and Webcast

Understanding the IPO Legal and Regulatory Developments: 2015 Perspective


The JOBS Act and Its Impact on Capital-Raising

Corporate Insider Trading Plans Are Not Bulletproof: Avoiding Common Pitfalls in Dealing with Rule 10b5-1 Plans


Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?

Jobs Act Update: New Deals on the Horizon


The Volcker Rule and Foreign Banking Entities – Location, Location, Location!


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