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Click here or scroll down to respond to this candidateSunny J. Barkats, Esq., is the Founding Partner of JS Barkats PLLC, leading a team of experienced
attorneys responsible for building and growing the Securities and Capital Markets practice group
headquartered in New York City. Mr. Barkats principal experience has been in private placements,
mergers, acquisitions and dispositions, SEC compliance, public offerings, general 1993 & 1934 Act
matters and strategic business relationships. Mr. Barkats is a pioneer with regards to the JOBS Act, Reg.
D 506c and Crowdfunding pursuant to title IV Reg. A+ offerings. He represents issuers, underwriters,
placement agents as well as lenders and financial participants in IPOs and APOs, private equity, private
placements and PIPE transactions. Mr. Barkats is an innovator known to revive and establish new
structures amicable to investors and beneficial to entrepreneurs and is a nationally recognized leader with
regards to Regulation A under the 1993 Act and analyzing the JOBS Act with regards to Crowdfunding
resolutions. Mr. Barkats core practice focuses on the representation of small and mid-sized companies
with a concentration in the life sciences, biotechnology and green technology industries. Prior to
founding JSBarkats, PLLC, Mr. Barkats was the youngest partner in an internationally renowned, New
York based law firm. When you seek a rain maker that hones his skills it defines Mr. Barkats. Mr. Barkats
was recognized by Superlawyers as top 5% best corporate securities attorney in NY Metro in 2014 and
has received other recognitions and award.
Mr. Barkats is a known entrepreneur and has interests in various know buildings in NYC and hotels, and
is part of the Board of Trenton Improvements Realty LLC, an aggressive investor in the development of
Trenton NJ., Mr. Barkats Launched Crowdfondue.com a successful Crowdfunding alternative capital
raising platform and has a board seats with the corporation. With his extensive experience working with
various clients across many major sectors and with access to institutional relationships, Mr. Barkats is
uniquely positioned to provide expert advice and actionable insight to help companies attract and retain
capital while complying with SEC requirements.
Mr. Barkats is a frequent and sought after speaker on securities and business law topics, has appeared
on TV debates and published several articles on Securities and Capital Markets business topics. He is
admitted in the State of New York and is a business Jurist Counsel in France, where he earned a
Masters degree in commercial and Banking Law at the University Of Avignon Pays De Vaucluse,
graduating with honors. Mr. Barkats also holds an LL.M in Banking & Securities law from Boston
University School of Law and is certified in ADR and Negotiation from the PON U.S. program at Harvard
School of Law. He is fluent in French, Hebrew and English and proficient in Spanish and German.
Selected Publications:
Le Secret Bancaire (Bank Secrecy) Comparative Law between Bank Secrecy in Switzerland
and Various E.U. Regulations, published in the Avignon School of Law Journal, September
2000
Going Private or Going Dark That Is The Question, published in the April 2009 issue of
Equities Magazine
The Use of Finders in the Securities Industry, published in the 2011 issue of Securities Mosaic
and updated & published in 2013 by the JSBarkats Corporate Law Series Sold 1,875 booklets
in 2014.
The Public Company Reporting Requirements Handbook, published in 2013 by the JSBarkats
Corporate Law Series sold 43 in 2014.
If you seeking to grow your law firm and bring real value added. Or new originations to your business
bring someone to head your corporate securities group or assist with taking it to the next level, a true
entrepreneurial attorney with deep knowledge of the law and the business communities needs please
consider Mr. Barkats. EMAIL AVAILABLE Cell: PHONE NUMBER AVAILABLE
EMAIL AVAILABLE
Cell: PHONE NUMBER AVAILABLE
BAR STATUS
Admitted, New York State, U.S.A 2005
Admission Pending Connecticut CT- 2016
Jurist at Law, France - 2000
EXPERIENCE:
JS Barkats PLLC December 2010-Present
Founder/Partner/Rainmaker
Founder of a known high end Boutique law firm with offices in NYC with a large book of business.
Build a full service firm with more than twelve (12) attorneys full time and 12 per projects/Corporate
Securities/IP/Real Estate and Fund practices (recently started a new Bankruptcy group). IPO/APO
and other alternative financing structures including Reg. D, Jobs Act offerings, and IPOs/APOs as
well as National leader in Crowdfunding and Reg. A+ offerings.
Herzfeld & Rubin, P.C. New York, NY
Partner Leading the Securities/Capital Markets Group. November 2008-December 2010
Member responsible for building and growing the Securities & Capital Markets practice group in
the New York office of Herzfeld & Rubin, P.C. principally representing publicly traded emerging
growth and established companies, both domestic and foreign, in a wide variety of industries. In
addition representing venture capital firms, investment banking institutions, high net worth
individuals and other investors. Advise small cap public companies in matters concerning Federal
securities law, compliance with Sarbanes-Oxley, NASDAQ/AMEX/OTCBB/PINK SHEETS
listing/quoting standards.
Haynes and Boone, LLP, New York, NY
Corporate and Securities Attorney Senior Associate, August 2006-September 2008
Large international firm represented and advised companies with capital market transactions,
mergers and acquisitions, and lending. Represented fortune 500 publicly traded entities with
regard to SEC regulations, including their 33 and 34 Act reporting requirements. including
counseling the Company with respect to its general corporate affairs and relationships with
shareholders, officers and directors, government agencies, stock markets and exchanges,
preparation and filing of the legal portion of periodic SEC reports and filings (including 10-K for
the year and the company's 10Q's for its fiscal quarters), any 8K's required to be filed, the issuance
of 144 opinions requested by transfer agent, any securities filings needed as a result of the sale of
stock by an officer or director, assistance in structuring and arranging board meetings and
preparation of minutes for such meetings and general advice and assistance in complying with the
Sarbanes-Oxley Act of 2002., Advise public companies in matters concerning Federal securities
law, compliance with Sarbanes-Oxley, NYSE/NASDAQ/AMEX/OTCBB listing standards.
Structure and prepare APOs and various type of concurrent PIPE financing
Gersten Savage LLP, New York, NY
Senior Corporate and Securities Attorney, September 2005- August 2006
Represented and advised companies with capital market transactions, mergers and acquisitions,
and lending. Represent publicly traded entities with regard to SEC regulations, including 33 and
34 Act reporting requirements. Advise public companies in matters concerning Federal securities
law, compliance with Sarbanes-Oxley, NASDAQ/AMEX/OTCBB listing standards. Prepare
registration statements on Form SB-2 and S-1, offerings under Reg. D, Reg. S (foreign investors)
and Reg. A. Draft and represent underwriters in the first SPAC transaction on Amex. Advise on
corporate governance issues as well as compliance with Blue Sky laws. Prepare information
statements and proxy statements. Draft and review private placement memorandums and perform
due diligence as well as represent domestic and offshore investment entities engaged in raising
capital for investment in public markets and for venture capital. Represent international clients in
trans-border financial transactions.
Sichenzia Ross Friedman Ference LLP, New York, NY
Securities Attorney, November 2002 September 2005
New client development and retention. Advised
companies in connection with public offerings,
private placements and PIPE transactions.
Performed transactional work on mergers and
acquisitions, funding transactions and restructuring
of public and private companies. Advised public
companies in matters concerning Federal securities
law, compliance with Sarbanes-Oxley, Exchange Act
reporting/SEC matters, NASDAQ/AMEX/OTCBB
listing standards, and corporate governance issues.
Translated legal document from French to English
and English to French in various securities
NASD/FINRA arbitration disputes. Represented
many Israeli-based corporations and small cap-
market companies and funds. Raised more than $40
Million for represented clients and undertook shelf
registration for my client issuers.
The Wagner Law Group P.C., Boston, MA (During law school)
Non-Admitted Foreign Associate, January 2001 May 2002
Drafted defined benefit plans, 401(k) and welfare
benefit plans. Drafted qualified and non-qualified
employee benefit plans. Interacted with Department
of Labor during examination of clientele.
Honorable Conrad B. Duberstein,
Chief Justice of the U.S. Bankruptcy Court Eastern District. Brooklyn, NY
Law Clerk, May 2001 - September 2002
Performed legal research on pending cases draft
memorandums for the Court on pending cases.
Attended court hearings and assisted in settlement
procedures.
POSITIONS HELD
AFL. American Friends of Likud. New York
Former Board Member Young Leadership, January 2007-
present
Educational not for profit organization
Mango Mix Holdings (Restaurant chain)
(www.mangomix.org)/Sold in 2011.
Board Member and founder of the restaurant healthy
organic QSR concept, 2007-present Sold the company to a
prominent Juice company.
MILITARY SERVICE
Jdischen Gemeinde zu Berlin Security Service Agency, Berlin, Germany
Community Counter-Terrorism Advisor, 1996 1998
Army Infantry Forces (I.D.F)
First Staff Sergeant- Recon Infantry Elite Forces, 1993 1996
EDUCATION
Boston University School of Law, Boston, MA
LL.M., Banking, Securities and Financial Law, 2003
University of Vaucluse Avignon School of Law, Avignon,
France
J.D equivalent / Masters (Maitrise) Honors: Deans List
Banking and International Commercial Law, 2000
University of Aix Marseille III School of Law &
Economics, Aix en Provence, France
License Law and Economics Majors, emphasis on
European Union Commercial Law, 1999
Lycee du Sacree Coeur Holly Hearts Jesuit College,
Aix en Provence, France
Baccalaureate - B. A equivalent / A2, Major in
Philosophy, Literature Math and Languages, 1993
Harvard University School of Law, Cambridge, MA
Certificate/Program on Negotiations and Dispute
Resolution, PON Certification, 2002
LANGUAGES
Native in French and Hebrew; Fluent in English;
Proficient in German and Spanish
PUBLICATIONS Selected Publications and speaking
opportunities (TV /Radio/Conferences):
Le Secret Bancaire (Bank Secrecy) Comparative
Law between Bank Secrecy in Switzerland and Various
E.U. Regulations, published in the Avignon School of
Law Journal, September 2000
Going Private or Going Dark That Is The Question,
published in the April 2009 issue of Equities Magazine
The Use of Finders in the Securities Industry,
published in the 2011 issue of Securities Mosaic and
updated & published in 2013 by the JS Barkats
Corporate Law Series https://www.amazon.com/s?
ie=UTF8&page=1&rh=n
%3A283155%2Cp_27%3ASunny%20J.%20Barkats
The Public Company Reporting Requirements
Handbook, published in 2013 by the JS Barkats
Corporate Law Series [need to update many more.]
Available upon request.\
TV: https://www.youtube.com/watch?v=UjG0e1eI064
(Fox Business News)
Reuters FBI vs. Apple:
http://www.reuters.com/video/2016/02/25/fbi-came-up-
with-olive-branch-for-apple?videoId=367522843
Conferences: many (https://www.youtube.com/watch?
v=BY4u67vyUDM )
Many more upon request.
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